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KYC Quality Control Analyst
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- The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
- Within the Compliance Operations Department, the Account Control Group (ACG) QC is responsible for performing processes related to Know Your Customer (KYC/CIP), assessing the quality of KYC folders, assisting with specialized projects, and supporting the ACG VP with day-to-day operational processes and reporting within ACG. May act in capacity of team leader or individual contributor.
- Ensures operational efficiencies and customer data integrity in accordance with internal policies and procedures of SMBC and Head Office and compliance with AML/BSA/OFAC regulations.
- Provides quality control of KYC (Know Your Customer) and CIP customer information and assures verification in accordance with AML policy and procedure.
- The ACG QC assists the ACG VP as assigned to ensure that the following are adhered to by all employees within the department: ensures that CIP information and mandatory DD/EDD information is collected prior to account opening; collects from the RM and reviewing, for adequacy and accuracy, all required KYC information and documentation within prescribed time frame.
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