AVP/VP, Team lead, KYC Specialist Up to $14,000

Our client is a leading brokerage and investment bank with a presence across ASEAN, the UK and the US. It offers a comprehensive range of services, including corporate finance and advisory, debt and equity capital markets, derivatives trading, brokerage, research and prime brokerage, serving both retail and institutional investors.

About The Role

We are seeking a highly motivated and experienced KYC professional to lead KYC remediation across our Retail, Institutional and Prime Brokerage businesses.

This senior role within the KYC Operations team also oversees the Name Screening function, ensuring the effective management of sanctions, politically exposed persons (PEP), adverse media and watchlist screening activities. The successful candidate will report to the Head of KYC Operations.

Responsibilities:

• Lead a team of reviewers in delivering KYC remediation projects, including independent reviews of KYC documentation, due diligence checks, name screening, plausibility assessments, and corroboration of Source of Wealth and Source of Funds.
• Oversee the Name Screening function, ensuring screening alerts relating to sanctions, PEPs, adverse media and watchlists are reviewed and resolved in accordance with regulatory requirements and internal standards.
• Manage screening alert volumes, team productivity, quality assurance and escalation processes to ensure timely resolution and compliance with established service standards.
• Handle complex cases and escalations from clients and internal stakeholders.
• Implement and update processes and guidelines to reflect changes in regulatory requirements and internal policies.
• Manage team workloads and project delivery plans to ensure remediation programmes meet agreed timelines and regulatory commitments.
• Partner with business teams to streamline existing processes and develop solutions that address evolving business needs and industry requirements.
• Work closely with Compliance to maintain KYC and Name Screening controls that align with regulatory expectations and internal policies.
• Identify control gaps and implement measures to address existing and emerging requirements.
• Train and develop team members to maintain consistently high standards across KYC and Name Screening operations.
• Support internal and external audits, as well as regulatory inspections.
• Drive process improvements and transformation initiatives to strengthen controls, improve operational efficiency and productivity, and enhance the client experience.
• Prepare reports on key onboarding, remediation, name screening and account management metrics.
• Analyse operational data to track project progress, identify trends and recommend improvements to controls and processes.

Requirements:

• At least 10 years of AML/KYC experience, ideally 10–12 years, within a risk or control function, with a sound understanding of financial services operations.
• At least 3 years of team leadership experience, with a proven ability to manage operational teams in a dynamic, fast-paced environment.
• Experience managing or overseeing KYC remediation and Name Screening operations, including sanctions, PEP, adverse media and watchlist screening.
• Strong knowledge of AML/KYC, sanctions and financial crime regulatory requirements.
• Strong interpersonal skills and the ability to manage stakeholders at all levels.
• Ability to independently drive change and deliver results in a challenging environment.
• Strong analytical and problem-solving skills, supported by a sound risk and control mindset.
• Advanced Microsoft Excel skills, including PivotTables, Power Query, data modelling, dashboard creation and trend analysis.
• Demonstrated ability to analyse large datasets, monitor remediation performance, conduct capacity planning and provide data-driven insights to support decision-making.
• Experience using Power BI, Tableau, SQL, Alteryx or similar reporting and analytics tools would be an advantage.
• A collaborative approach, with the adaptability and resilience to thrive in a changing environment.
• Excellent written and verbal communication skills, with the ability to clearly present insights and recommendations.

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We regret to inform only shortlisted candidates will be notified.

Merries Employment LLP

EA Licence No: 14C7362

Posting Personnel: Jasmine Chew

EA Personnel Registration No: R1769441