As a Know Your Client (KYC) Refresh / Quality Control (QC) Analyst within RBC Capital Markets operations you will utilize your excellent communication, and analytical skills to ensure that Know Your Client (KYC) Due Diligence processes are conducted and completed accurately prior to establishing trading relationships with customers.
Conduct
Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with global and regional regulatory requirements. Conduct KYC due diligence searches and reviews for Low/Medium/High risk clients. Act as subject matter expert on regional KYC/AML regulatory requirements and RBC Capital Market policies (including Canada, US, UK, and Asia Pacific regions) Respond to adhoc requests for information from Front Office partners regarding appropriate KYC documentation.
Escalate to RBCCM AML Compliance, Global Economic Sanctions or other regulatory subject matter experts on clients identified as high risk or where material adverse information has been identified. Track documentation that cannot be obtained via internal or public sources and escalat to Front Office/ so outreach to clients may be conducted. Monitor escalation, refresh and outreach queues to ensure tasks and amendments are executed within agreed upon timelines.
Conduct Quality
Control 4 eye check reviews on refreshes for various business units across North America and EMEA to ensure KYC documentation is in line with local KYC requirements and Data Quality standards. Work with colleagues in other KYC and CMG teams globally to ensure a consistence and efficient data quality approach. Act as Subject Matter Expert on KYC policies for Canada, US, UK, Europe (eg.
France, German, Spain) and Asia Pacific regions.
Assist with training internal and external resources on regional KYC requirements processes and applications. Work with regional Compliance teams to raise commonly encountered issues, completion of high risk reviews and obtain consensus to streamline requirements globally.
Assist with oversight and audit preparation and quality review as needed In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rule-based environments. Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint.
Certified
Anti-Money Laundering Specialist (CAMS) designation Tax knowledge We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable Active Learning, Adaptability, Business Appraisals, Critical Thinking, Customer Service, Decision Making, Effectiveness Measurement, Operational Delivery, Process Improvements Full time Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities.
RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and prospect for all. Join our Talent Community Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com. #
📌 KYC Refresh/Quality Control Analyst (Bedford)
🏢 RBC
📍 Bedford