Rbc
KYCRefresh/QCAnalyst1
“KYC Refresh / QC Analyst-1 at Rbc. Skills: KYC Refresh, QC Analyst, KYC Due Diligence, KYC refresh reviews, KYC due diligence searches, AML regulatory requirements, Capital Markets policies, KYC documentation, Data Quality standards, KYC policies, KYC/AML issues, KYC requirements processes and applications, Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint. Conduct Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with globa”
What You'll Achieve.
ensure that Know Your Client (KYC) Due Diligence processes are conducted and completed accurately prior to establishing trading relationships with customers.; ensure KYC documentation is in line with local KYC requirements and Data Quality standards.; ensure a consistence and efficient data quality approach.; achieve clarity on KYC/AML issues and make sure that those issues are tracked, reported on and resolved in a timely manner.
Industry & Context.
analytical skills; Critical Thinking; Decision Making
What They're Looking For.
Must Have
Minimum 1-2 years of KYC/AML Capital Markets experience with a financial institution, BAS or equivalent, In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc. ) and/or experience working with regulatory or rule-based environments, Familiarity with Capital Markets products, trade systems and business lines, Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint, Advanced knowledge of CDR, Fenergo, and trading and settlement applications
Nice to Have
Certified Anti-Money Laundering Specialist (CAMS) designation, Any financial accreditations such as the Canadian Securities Course (CSC), Operations or Technology degree, background, or experience, Tax knowledge
What You'll Do.
Conduct Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with global and regional regulatory requirements.
Conduct KYC due diligence searches and reviews for Low/Medium/High risk clients.
Respond to adhoc requests for information from Front Office partners regarding appropriate KYC documentation.
Escalate to RBCCM AML Compliance
Global Economic Sanctions or other regulatory subject matter experts on clients identified as high risk or where material adverse information has been identified.
Track documentation that cannot be obtained via internal or public sources and escalate to Front Office/ so outreach to clients may be conducted.
refresh and outreach queues to ensure tasks and amendments are executed within agreed upon timelines.
Conduct Quality Control 4 eye check reviews on refreshes for various business units across North America and EMEA to ensure KYC documentation is in line with local KYC requirements and Data Quality standards.
Work with colleagues in other KYC and CMG teams globally to ensure a consistence and efficient data quality approach.
Assist with oversight and audit preparation and quality review as needed
How You'll Work.
Team & Collaboration
Act as subject matter expert on regional KYC/AML regulatory requirements and RBC Capital Market policies (including Canada, US, UK, and Asia Pacific regions); Work with colleagues in other KYC and CMG teams globally to ensure a consistence and efficient data quality approach.; Guide team members to achieve clarity on KYC/AML issues and make sure that those issues are tracked, reported on and resolved in a timely manner.; Work with regional Compliance teams to raise commonly encountered issues, completion of high risk reviews and obtain consensus to streamline requirements globally.
Communication Scope
excellent communication
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