Compliance Analyst

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Private Equity fund administrator’s Boston office is looking for an Anti-Money Laundering (AML) and Know Your Customer (KYC) Compliance Analyst to assist the Compliance team in all administrative tasks related to AML/KYC Services for new and existing clients/investors.

We will offer you

  • A challenging and rewarding role in a fast-growing organization
  • Excellent opportunities for professional and career development in Private Equity
  • Competitive Salary and Benefits

Administrative Functions

  • Collect and retain all client/investor documents from various sources for AML/KYC, FATCA, and CRS.
  • Maintenance and centralization of AML/KYC, FATCA, and CRS documents and data. Collection and reconciliation of data for implementation of CRM system.
  • Maintain control and tracking logs for completed and open compliance items.
  • Track statuses of key legal, compliance, and tax documents/information as needed.
  • Liaise with various internal departments (client servicing teams, operations, IT, etc.) and external parties (clients, law firms, third-party service providers, etc.).

Responsibilities will include

  • Review client/investor documents to identify and compile key information required to perform Compliance Services including AML/KYC, FATCA, and CRS. Documents to include, but not limited to, subscription documents, tax forms, self-certification forms and other supporting AML/KYC documents.
  • Maintain and update client/investor database with key compliance information based on new compliance reviews and existing contracted clients. Ensure all documentation (e.g., tax forms) is current, not expired and completed.
  • Escalate with the Director of Compliance of any compliance issues, open items, missing or expired documentation that need to be escalated to CS team, client and/or third-party resources.
  • Using Thomson Reuters application, World-Check, and TINCheck, scan all names related to investors as extracted from subscription and AML/KYC documents and to document the results.
  • Ensure all documents/reports are maintained in proper locations to include AML/KYC, FATCA, and CRS results, client report letters, client invoices, client/firm servicing contracts/pricing and third-party resource statements.
  • Ensure compliance checklists are completed for each review and signed. Ensure all steps are followed for control purposes.

Job Requirements, Skills, Education, and Experience

  • Bachelor’s Degree in Business Administration, Finance, or Accounting a plus.
  • 1-3 years of work experience in Financial Services, a plus
  • Impeccable attention to detail. Will train to review AML documentation and formation documents; Trust Agreements, LP /LLC Agreements, Certificate of Formations, Article of Associations, tax documents, identifying documents, etc.
  • Familiarity with investor scanning applications
  • Strong ability to gather, track and centralize information/documents.
  • Excellent data entry and reconciliations of systems and ongoing maintenance.
  • Microsoft applications proficient. Strong EXCEL skills (formulas, pivot tables, VLOOKUPs).
  • Excellent verbal, written, and interpersonal communication skills. Must be extremely detail-oriented and highly organized.
  • Efficient time management skills and the ability to maintain control over information and documents to meet client, firm, and reporting deadlines.