Head of Americas Compliance Onboarding (US and LATAM)

Responsibilities

• Work side by side with Client Lifecycle Management Team in developing our regional strategic vision for client onboarding, aligning with company expansion goals and regulatory mandates
• Aid in the design and implementation of a standardized operating model to drive efficiency, scalability, and consistency across jurisdictions
• Ensure adherence to KYC/AML/CFT standards and local regulations, including establishing a robust governance framework and overseeing the assessment of high-risk clients
• Act as the regional executive sponsor helping to implement strategic onboarding roadmap focusing on automation and reducing client friction
• Manage, mentor, and coach onboarding team leaders, or specialized KYC analysts
• Lead the team in establishing and managing global capability centers in multiple jurisdictions to meet the needs of the department in a timely cost-efficient manner
• Serve as the primary liaison between Front Office/Sales, Middle Office, Compliance, Risk, and Technology teams to resolve conflicts and improve process flow
• Oversee the quality check process to ensure completeness of client files, providing regular management information (MI) reports to senior leadership on performance and risk
• Assist Management with relationships with external KYC service providers and third-party tools to ensure cost-effectiveness and high quality
• Manage departmental budget including creation of and monitoring

Qualifications

• Degree in related field (Financial / Compliance / Business, etc.)
• Proven KYC/CDD leadership experience, 10+ years directly working in a KYC/Onboarding discipline as well as performing Due Diligence functions for a Financial Institution (ideally within Investment Banking, Institutional Broker Dealer or comparable business division)
• Strong working knowledge of onboarding and conducting end-to-end KYC functions on domestic and international Legal Entity Customers (i.e. Operating Entities, Financial Institutions, Private Companies, Non-Bank Financial Institutions, Hedge Funds, Funds, SPVs, Personal Holding Companies)
• Proficient understanding of documentation requirements on corporate structures and complex entity types
• Direct experience in conducting Negative News, PEPs, and Sanctions screening on customers; Knowledge of and ability to utilize tools, techniques and processes for gathering data utilizing 3rd party tools such as LexisNexis, WolrdCheck as well as government registries, etc. for due diligence
• Good understanding of FINCEN CDD Rule, USA Patriot Act, and OFAC regulations etc. relating to this role
• Proficient in Microsoft Excel, Word, and Outlook, with ability to learn new technologies quickly
• Ability to multi-task and reprioritize in a fast-paced environment and establish cooperative and collaborative working relationships
• Excellent time management skills