Rockefeller Capital Management
KYC Analyst
Rockefeller Capital Management, Paramus, New Jersey, us, 07653
About Rockefeller Capital Management
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $133 billion in client assets as of March 31, 2024.
Position
The KYC Analyst will be part of Rockefeller Capital Management’s AML and Sanctions Compliance team. The Analyst is responsible for conducting diligence on Rockefeller Capital Management’s new and existing clients. Specifically, the Analyst will assist with RCM’s Customer Identification Program (“CIP”), client due diligence, and enhanced due diligence at the onboarding phase. With respect to existing clients, the Analyst will assist with periodic reviews and regular monitoring of client relationships.
Responsibilities
Conduct diligence on new and existing clients using online research toolsCommunicate with the business to ensure AML Compliance possesses the required information during the onboarding phase, and that all customer and account information is captured properly in the Firm’s various systemsPerform periodic reviews of existing clients to ensure identification of any changes in risk profileIdentify potential KYC issues and escalate to manager at onboarding and during periodic reviewsTrack any identified issues for new or existing clients during periodic reviews and remediation efforts to ensure all identified issues have been timely resolvedAssist with FinCEN 314(a) searchesAssist with OFAC reviewsAssist the AML Compliance team, as needed, during audits and regulatory examinations
Qualifications
Bachelor’s Degree required2+ years of experience as part of an AML/Sanctions Compliance teamKnowledge of the Bank Secrecy Act (“BSA”), the USA PATRIOT Act, and FinCEN/SAR requirementsSecurities background within Private Wealth Management is a plus
Skills
Excellent research skills, including familiarity with online research tools (e.g., LexisNexis, World-Check)Familiarity with automated onboarding and transaction monitoring systemsStrong writing, analytical, decision making/problem solving and communication skillsStrong organizational and time management skills
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Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $133 billion in client assets as of March 31, 2024.
Position
The KYC Analyst will be part of Rockefeller Capital Management’s AML and Sanctions Compliance team. The Analyst is responsible for conducting diligence on Rockefeller Capital Management’s new and existing clients. Specifically, the Analyst will assist with RCM’s Customer Identification Program (“CIP”), client due diligence, and enhanced due diligence at the onboarding phase. With respect to existing clients, the Analyst will assist with periodic reviews and regular monitoring of client relationships.
Responsibilities
Conduct diligence on new and existing clients using online research toolsCommunicate with the business to ensure AML Compliance possesses the required information during the onboarding phase, and that all customer and account information is captured properly in the Firm’s various systemsPerform periodic reviews of existing clients to ensure identification of any changes in risk profileIdentify potential KYC issues and escalate to manager at onboarding and during periodic reviewsTrack any identified issues for new or existing clients during periodic reviews and remediation efforts to ensure all identified issues have been timely resolvedAssist with FinCEN 314(a) searchesAssist with OFAC reviewsAssist the AML Compliance team, as needed, during audits and regulatory examinations
Qualifications
Bachelor’s Degree required2+ years of experience as part of an AML/Sanctions Compliance teamKnowledge of the Bank Secrecy Act (“BSA”), the USA PATRIOT Act, and FinCEN/SAR requirementsSecurities background within Private Wealth Management is a plus
Skills
Excellent research skills, including familiarity with online research tools (e.g., LexisNexis, World-Check)Familiarity with automated onboarding and transaction monitoring systemsStrong writing, analytical, decision making/problem solving and communication skillsStrong organizational and time management skills
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