AML​/KYC Advisory Consultant; Asset Servicing & Custody

Role: AML/KYC Advisory Consultant
- Asset Servicing & Custody

Experience

Required:

10+ Years

Domain: Capital Markets & Financial Services

Primary Skill: Fund Accounting / AML-KYC Advisory

• Provide AML/KYC subject matter expertise for:
  • Custody & Asset Servicing
  • Fund Administration (Hedge Funds, Private Equity Funds, Mutual Funds)
• Interpret and implement regulatory requirements, including:
  • Bank Secrecy Act (BSA) / Anti-Money Laundering (AML)
  • USA PATRIOT Act
  • OFAC Sanctions Programs
  • SEC and FINRA regulatory requirements
• Develop and enhance AML/KYC frameworks aligned with industry best practices and organizational risk standards.
• Ensure compliance programs support a strong risk management and regulatory compliance culture.
• Advise stakeholders on AML/KYC controls, governance, and compliance processes within asset servicing environments.

• Lead end-to-end KYC, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) processes for:
  • Institutional Investors
  • Fund Managers
  • Asset Management Firms
  • Pension Funds
  • Financial Institutions
• Conduct due diligence on complex ownership and legal structures, including:
  • Multi-layered Fund Structures
  • Trusts
  • Special Purpose Vehicles (SPVs)
  • Nominee Structures
• Ensure compliance with:
  • Ultimate Beneficial Owner (UBO) Identification and Verification
  • Politically Exposed Person (PEP) Screening
  • Sanctions Screening
  • Adverse Media Reviews
• Support periodic KYC reviews, remediation initiatives, and regulatory-driven client refresh programs.
• Improve data quality and client record management across onboarding and compliance platforms.
• Implement industry best practices consistent with leading global asset servicing and custody institutions.

• Deep expertise in AML/KYC regulations and compliance programs.
• Strong knowledge of:
  • BSA/AML Regulations
  • USA PATRIOT Act
  • OFAC Sanctions
  • SEC Regulations
  • FINRA Compliance Requirements
• Experience supporting Custody & Asset Servicing operations.
• Strong understanding of Fund Administration processes, including:
  • Hedge Funds
  • Private Equity Funds
  • Mutual Funds
• Expertise in Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD).
• Experience handling complex legal entity and ownership structures.
• Strong knowledge of UBO verification, PEP screening, sanctions screening, and adverse media reviews.