Client Operations – KYC Audit & Exam Team - Vice President

The KYC Audit & Exam team is part of the wider Client Operations team, with a particular focus on regulatory, external and internal audit and exams relating to AML/KYC activities across the EMEA region.

As an Audit & Exams Vice President in the Client Operations team, you will lead exams in relation to KYC, AML and Regulatory risk. You will partner closely with key Business and Operations teams, Compliance, Internal Audit, External Regulators, and Senior Management to proactively mitigate risk. In this role, you will leverage your strong stakeholder management experience and ability to influence at senior levels. Your deep understanding of the Regulatory and Audit environment in Financial Services will be key to your success.
 

Job responsibilities:

• Lead engagements across a range of specialist areas including AML/KYC, Regulatory engagements, Internal audits and Issue management.
• Develop oversight, mitigation and escalation of all risk (operational, reputational, financial, regulatory etc.) that may impact on EMEA Client Onboarding.
• Assist in developing an appropriate risk culture across the Client Onboarding team and key partners.
• Assist in issue management through proactive management of Action Plans including analysis of solutions, plan proposal, oversight of plan tasks, validation, manage chain of approvals and closure.
• Maintain strong working relationships with key business stakeholders, Compliance, Control Management, Business Management, Product & Platform and Technology on fulfilling responsibilities of the risk team in EMEA.

Required qualifications, capabilities and skills:

• A Bachelor's degree or equivalent experience is required, along with experience in the financial services industry, demonstrating knowledge of AML/KYC and Economic Sanctions.
• Candidates should be enthusiastic, self-motivated, effective under pressure, and possess a strong sense of ownership and accountability, with excellent communication skills to present complex issues to key stakeholders.
• Proficiency in MS Excel (pivot tables, v-lookups, etc.), PowerPoint, Word, and Visio is essential, with knowledge of Alteryx, and fluency in English.

Preferred qualifications, capabilities and skills:

• A background in controls, audit, operational risk, legal, or compliance is preferred, with a proven track record of consistent delivery in a fast-paced environment and strong analytical and organizational skills.