12 days old

Cantor Fitzgerald: Client Due Diligence, Analyst

BGC Partners
New York, NY 10007
  • Job Code
    19003060

Client Management Description

The Client Management Team works to protect the firm from regulatory and reputational risk by ensuring all customers have undergone a thorough due diligence review, and a complete KYC profile is documented. The team acts as the single point of liaison for all internal/external stakeholders minimizing the amount of client touchpoints while providing guidance on our CDD/KYC policy. Client Management effectively communicates our requirements to the various sales teams and potential clients.

Job Description:

The Client Due-Diligence Officer is responsible for conducting due diligence for all potential clients supporting Cantor Fitzgerald and affiliates by carrying out the initial due diligence process to validate risk indicators. This position is also responsible for monitoring and reporting of existing clients and collaborating with Client Management partner teams to ensure pristine client records.

Responsibilities include:

  • Work with Client Onboaording team to collect and evaluate client documentation as outlined in the firm's internal procedures
  • Perform due diligence checks on potential clients
  • Manage the end-to-end KYC workflow inclusive of partner stakeholders (AML Compliance, Credit, Legal etc.).
  • Identify hits which warrant additional research. Escalate potential sanctions violations and/or reputational/financial risks accordingly and document resolution.
  • Provide decision comments in a consistent manner.
  • Ensure hits/alerts are handled in accordance with defined procedures and meet standards for both quality and timeliness.
  • Coordinate intraday and end of day prioritization and reconciliation of daily work/proof and control.
  • Ensure escalation of alerts are properly handled and documented.
  • Create client data files on KYC platform.
  • Act as an escalation point for Client Onboarding for review of regulated/public entities as applicable.
  • Collaborate with data control team to finalize client accounts on internal systems.
  • Contribute to overall Client Management ad-hoc project

Qualifications

  • Bachelor's Degree or equivalent business experience in delivering quality client service (ideally in financing/banking)
  • Experience with Enhanced Due Diligence requirements and Sanctions, Negative Media, and PEP screening
  • Strong knowledge of AML/KYC regulatory requirements
  • Thorough understanding of legal structures and activity types for financial institutions
  • Ability to analyze client information and documentation to facilitate account opening
  • Understanding of rules, regulations and regulatory requirements (Bank Secrecy Act / US Patriot Act / OFAC)
  • Proven track record of delivery within challenging timescales

Skills:

  • Excellent planning, organization and time management abilities
  • Excellent verbal and written communication skills at all levels
  • Ability to be flexible, manage priorities whilst remaining calm under pressure
  • Receptive to change while demonstrating drive and resilience
  • Positive 'can do' attitude and an ability to take ownership of tasks through to completion
  • Ability to work collaboratively and independently when required






Posted: 2020-01-08 Expires: 2020-02-06
Sponsored by:
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Sponsored by:
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Cantor Fitzgerald: Client Due Diligence, Analyst

BGC Partners
New York, NY 10007

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