What is the opportunity?

Do you consider yourself a self-starter with willingness to take the initiative and ability to multi-task? As a KYC 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.

What will you do?

• Conduct end to end Global KYC Refresh due diligence and 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/EUR, and Asia Pacific regions)
• Have knowledge of non-AML and regulatory requirements
• 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 escalate 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.
• Assist with quality control maker checker/ 4 eye check reviews as required

What do you need to succeed?

Must-have:

• Minimum 2-5 years of KYC/AML Capital Markets experience with a financial institution.
• BA/BS or equivalent
• In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rule-based environments.
• Familiarity with Capital Markets products, trade systems and business lines.
• Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint.
• Advanced knowledge of CDR, Fenergo and trading and settlement applications.

Nice-to-Have:

• Certified Anti-Money Laundering Specialist (CAMS) designation
• Any financial accreditations such as the Canadian Securities Course (CSC)
• Operations or Technology degree, background, or experience
• Tax knowledge

What’s in it for you?

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
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Opportunities to build close relationships with clients
• Access to a variety of job opportunities across business and geographies

Job Skills

Active Learning, Adaptability, Business Appraisals, Critical Thinking, Customer Service, Decision Making, Effectiveness Measurement, Operational Delivery, Process Improvements

Additional Job Details

120 WESTERN PKY:BEDFORDBEDFORDCanada37.5Full timeCAPITAL MARKETSRegularSalaried2024-09-122024-09-30