MAIN JOB PURPOSE
The Senior KYC Analyst will work in close collaboration with the Investor KYC & Due Diligence Manager to progress with the KYC Onboarding, Recertifications and Trigger Events for Investors, supporting the wider BI team to ensure deadlines are adhered to and work is completed and presented to a high standard. The role holder will be a key contact person on KYC due diligence matters.
KEY RESPONSIBILITIES
- Responsible for the KYC reviews to support the onboarding of new investors in accordance with agreed schedules, adhering to Group and local regulations whilst maintaining a positive client and investor experience
- Undertaking investor recertification independently in accordance with the BI Schedule ensuring they are completed in a timely manner and to the highest standard providing the most efficient approach and investor experience
- Processing trigger events, liaising with the investor or internal Investor Relations / Fund Services Administration Teams as applicable
- Ensure appropriate BNP systems are updated accurately and processed in a timely manner following notification of changes
- Ensure all parties associated with the accounts are subject to accurate screening on Vigilance, Djaams and any other relevant screening systems verification
- Review and validate AML/KYC files prepared by other team members, performing 4-eyes checks ensuring CDD documentation and screening meets BNPSS CI regulatory obligations, including FATCA & AEOI, as well as internal policies
- Support KYC reporting to clients, management committees and controls
- Support the oversight of any future outsourced activity
- Develop and maintain strong relationships with internal and external stakeholders, regarding the recertification requirements of investors
- Guide junior team members in terms of KYC, systems or internal processes
- Escalate to Manager any potential blocking points, concerns and issues in a timely manner participating in meetings with key stakeholders to progress and resolve any issues
- Manage the day-to-day e-mails received into the communal Hobart mailbox ensuring prompt responses/escalation as required
- Record, track and resolve queries in relation to investor maintenance, adhering to policies and procedures in place
- Ensure sanctions notifications are reviewed against our investor databases and screenshots are kept for audit trail
- Contribute to ongoing operational efficiency initiatives, Group or Local projects developed within the team to enable us to provide a more ‘streamlined’ service to investors
- Keep up-to-date with regulatory changes
- Undertake all mandatory compliance training within deadlines specified
- Adhere to the Group’s Code of Conduct
TECHNICAL SKILLS
- A minimum of 2-3 years of due diligence experience in a similar environment
- Experienced with various types of funds, including Private Capital Structures, the underlying entities and investors
- Comprehension of local regulatory standards
- Holds or is working towards a professional qualification in AML/DD
- An awareness of FATCA & AEOI
- Has undertaken relevant AML / Sanctions Training
BUSINESS SKILLS – ESSENTIAL REQUIREMENTS
- Know Your Customer – Knowledge of main types of business relationships and key internal standards at identification, assessment and decision phases
- Financial Security – Knowledge of key regulations, procedures and major components of internal risk framework linked to Sanctions & Embargoes, AML, fight against corruption & terrorist financing
- Risk Analysis – Ability to set up criteria to define and analyse risk levels
- Professional qualification in either Compliance / AML / CDD
TRANSVERSAL SKILLS – ESSENTIAL REQUIREMENTS
- Teamwork – Ability to work as part of a team, providing support, guidance and benefit of expertise to others to achieve common goals
- Strong communication skills – excellent verbal and written skills, capable of presenting complex information clearly to internal teams and ensuring each audience receives the appropriate level of detail
- Inspire Others – Act as a role model for the Group’s values
- Excellent interpersonal, organization and communication skills
- Client and quality driven
- Ability to work to deadlines
- Ability to use initiative and judge when to escalate problems
- Ability to understand and respond effectively to client needs
- Self-motivated and goal oriented
- Flexible and positive attitude
- Computer literacy to input, review and validate data and pull report
BEHAVIOURAL SKILLS
- Excellent Organisational Skills – Consistently readjusts the activities and organisation of multiple tasks in order to cope with changing priorities
- Client Focused – Helps to develop client and investor relationships, establish a trustworthy relationship with a client centric approach and encourages other to act accordingly
- Resilience – Exercises a calming influence on others in stressful situations
- Excellent Attention to details – Focuses on the prevention of mistakes regarding information delivered. Works carefully and precisely in accordance with applicable processes
TRANSVERSAL SKILLS – DESIRED REQUIREMENTS
- Solution driven
- Experience of interacting with Clients and Investors at Senior levels within their organisation
REGULATORY REQUIREMENTS
- Holder of local housing qualifications or licence
- 25 hours CPD must be done annually
