Compliance Analyst - CIP Job at Apex Clearing (Manila)

Compliance Operations Specialist/QC Analyst

Within the Compliance Operations Department, the Account Control Group (ACG) Qua...

Location

United States , New York

Salary:

Not provided

NTT DATA

Expiration Date

Until further notice

Requirements

Bachelor's Degree (BA/BS) or equivalent professional experience
5+ years of specialized experience in Financial Services and back-office operations with focus on KYC and AML
5+ years of experience in dealing with FCC compliance and regulatory standards
5+ years of experience in dealing with documentation in relation to Customer Identification Program (CIP), Due Diligence (DD), and Enhanced Due Diligence (EDD) documentation

Job Responsibility

Ensure operational efficiency and customer data integrity in accordance with internal Bank policies, Head Office procedures, and AML/BSA/OFAC regulatory requirements
Conduct quality control reviews of KYC Periodic Reviews and CIP customer information to ensure compliance with AML policies and procedures
Verify adherence to the Bank KYC Program and recommend process improvements aligned with bank policies and regulatory standards
Ensure all mandatory Customer Identification Program (CIP), Due Diligence (DD), and Enhanced Due Diligence (EDD) documentation is complete and accurate
Collect required KYC documentation from Relationship Managers (RM) and review submitted information for adequacy and accuracy within established timelines
Confirm that verification documents obtained by the RM and work completed by ACG Analysts meet prescribed turnaround times and quality standards
Maintain evidence of screening and search results within the KYC system
Escalate confirmed or suspected name matches associated with material negative information to the BSA Officer
Troubleshoot routine and moderately complex issues within KYC/CIP systems and related subsystems through resolution
Perform quality checks for updates made to existing customer records, including supporting documentation review

KYC Operations Analyst 1

The KYC Operations Analyst 1 is an entry-level position responsible for particip...

Location

Costa Rica , Heredia

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Previous relevant experience preferred
Bachelor's degree/University degree or equivalent experience

Job Responsibility

Partner with Relationship Management and Compliance teams to assist with the preparation, development, due diligence and approval of the electronic Know Your Client (KYC) record and supporting appendices
Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.)
Partner with Relationship Management and Compliance teams to update system information from initiation to approval of KYC record and report workflow progress to supervisor
Validate the information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy
Ensure KYC records incorporate local regulatory requirements / Global Business Support Unit (BSU) Standards
Maintain BSU tool
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

Procurement Category Management Analyst

The purpose of this job is to be the Procurement Lead for Transportation and Log...

Location

India , Gurugram

Salary:

Not provided

Pepsico

Expiration Date

Until further notice

Requirements

10+ years’ experience in FMCG Sourcing / Procurement of which atleast 5+ years should be in management of Transportation and Logistics spend
Experience in using advanced sourcing methodologies/ tools, Strategic Sourcing steps
E-procurement and SAP knowledge is a must
Experience in a regional procurement function/ company
Experience of procurement/ strategic sourcing in India
Skilled in managing a dispersed team of business stakeholders in different locations
strong selling skills
Go-To-Person on Performance Metrics, and Best Practices around Metrics
Bachelor of Engineering/ Science/Business Administration with Postgraduate qualification from NITIE or equivalent college preferable
Procurement professional (CIPS or equivalent) a plus

Job Responsibility

Support (in close collaboration with the INDIA Region GP Business Engagement Sr Director) implementation of the INDIA Procurement vision, mission and strategy
Manage MOVE category at a regional level leveraging PepsiCo’s OpCo’s Supply plans
Work closely with INDIA BE Sr Director and Sector GP COE to: Plan and monitor Move Category with respect to annual and long-term strategic sourcing targets for India spend driving local plans/strategies in partnership with Sector COEs
Plan and monitor sourcing Productivity / Savings for the above category at 8-10% YoY
Evaluate & evolve sourcing strategies based on changing market conditions and provide inputs during strategic sourcing activities, including internal and external analysis and negotiations
Ensure implementation of sourcing strategies / plans, compliance monitored, and benefits tracked (in close collaboration with the Transactional Procurement Team in line with the procurement policies, DoA and Procurement practices
Collaborate with Supply Planning & Logistics team to define fleet electrification strategy and execution on Pepsico India glidepath plan
Lead supplier enablement and drive digitalization and simplification within category
Ensure implementation of best-in-class sourcing tools, relevant to the category
Partner with senior Transport & Warehousing stakeholders and Sector Centre of Excellence, improve operating cash flow (inventory), and flexibility to business needs

Fulltime

Kyc Operations Analyst

The KYC Operations Analyst is an entry-level position responsible for participat...

Location

Ireland , Dublin

Salary:

35950.00 - 46750.00 EUR / Year

Citi

Expiration Date

Until further notice

Requirements

Previous relevant KYC experience preferred
Ability to work well under pressure and tight time frames
Ability to work as the team player
Analytical and good organizational skills are an asset
Experience in control/risk, Compliance (AML/KYC) or Customer Service function as an asset
A willingness to learn and manage in a constantly changing environment
Bachelor's degree/University degree or equivalent experience

Job Responsibility

Partner with Relationship Management and Compliance teams to assist with the preparation, development, due diligence and approval of the electronic Know Your Client (KYC) record and supporting appendices
Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.)
Partner with Relationship Management and Compliance teams to update system information from initiation to approval of KYC record and report workflow progress to supervisor
Validate the information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy
Ensure KYC records incorporate local regulatory requirements / Global Business Support Unit (BSU) Standards
Maintain BSU tool
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

What we offer

Hybrid working model (up to 2 days working at home per week)
Competitive base salary (annually reviewed)

Fulltime

Compliance/Operations Analyst

We are looking for a Compliance/Operations Analyst to join our team in New York,...

Location

United States , New York

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting, Finance, or a related field
At least 6 months of experience in accounting, auditing, compliance, or financial services operations
Experience from a Broker Dealer or the broader financial services industry

Job Responsibility

Review and process new account documentation
Ensure completeness and regulatory accuracy of client files
Follow up on missing documentation
Maintain organized electronic records
Perform KYC, CIP, and AML documentation checks
Conduct TRACE trade reporting reviews and reconciliations
Assist with internal and external audit preparation
Escalate potential compliance concerns appropriately
Support periodic credit review processes
Gather and analyze required credit documentation

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

Kyc analyst

Location

Poland , Warszawa

Salary:

9000.00 - 9500.00 PLN / Month

Devire

Expiration Date

Until further notice

Requirements

1-3 years experience in KYC role
Exceptional verbal and written English skills
Demonstrated common sense, along with a robust analytical and logical approach to all tasks
Essential qualities include flexibility, proactivity, and high energy
Strong problem-solving and facilitation abilities
Capable of working independently with minimal supervision
A team player with the ability to work efficiently and effectively under pressure

Job Responsibility

Demonstrate the ability to constantly apply sound business judgment in order to identify unusual or suspicious documentation or activity
Develop a profound understanding of Client Identification Program (CIP) policies involving country specific requirements and translate this knowledge to day-to-day responsibilities
Satisfy the responsibility for completing detailed reviews of documentation for new and existing clients, including legal agreements and organizational documents
Engage in opportunities to review processes, analyze information, make decisions and recommendations and implement and monitor procedures
Become commercially aware and understand the nature of the business you are involved in
Display a strong ability to influence the Consumer and Wealth Management (CWM) Business by serving as a liaison between Financial Crime Compliance (FCC) and Private Wealth Management (PWM) Sales teams

What we offer

Private HealthCare
Sports card
Life insurance
Working for a leading corporation with a stable market position
Working in the international environment
Supportive and positive environment

Fulltime

Accounting Analyst

The Accounting Analyst, a member of the Controller’s Group, is responsible for s...

Location

United States , Easton

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Prepare and post journal entries for the month end accounting close
Prepare monthly balance sheet General Ledger account reconciliations
Prepare monthly financial reporting schedules
Prepare Accounts Receivable reporting and variance analysis
Assist with Fixed Asset, CIP, and Lease reporting and management
Prepare audit schedules
Prepare financial information supporting Corporate Tax and Risk Department requests
Manage the accounting for Prepaid Expenses
Participate on cross functional project teams supporting business initiatives and process improvement opportunities
Prepare financial analysis of variances to Plan and Forecast

Job Responsibility

Support day to day accounting operations and the monthly close process
Perform general ledger accounting, account reconciliations, journal entries, and financial reporting activities
Work closely with internal stakeholders and support audits, reporting, and business initiatives for the US and International teams

What we offer

Medical, vision, dental, and life and disability insurance
Eligible to enroll in company 401(k) plan
Free online training

Know Your Customer Operations Analyst

The KYC Operations Analyst 1 is an entry-level position responsible for particip...

Location

Costa Rica , Heredia

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

0-3 years of KYC/risk/ investigation experience
Proven effective communication skills
Advance English is required
Attention to details
Bachelor's degree/University degree or equivalent experience

Job Responsibility

Partner with Relationship Management and Compliance teams to assist with the preparation, development, due diligence and approval of the electronic Know Your Client (KYC) record and supporting appendices
Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.)
Partner with Relationship Management and Compliance teams to update system information from initiation to approval of KYC record and report workflow progress to supervisor
Validate the information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy
Ensure KYC records incorporate local regulatory requirements / Global Business Support Unit (BSU) Standards
Maintain BSU tool
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

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Compliance Analyst - CIP

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