Associate, Client Due Diligence Quality Checker

Job Description

As an integral member of the Client Data Management team at Cantor Fitzgerald, you will be responsible for conducting thorough quality assurance reviews of Customer Due Diligence (CDD) and Know Your Customer (KYC) processes. Your primary focus will be on maintaining the accuracy, completeness, and compliance of client due diligence records, adhering to internal policies and regulatory requirements. This role is crucial in identifying and mitigating financial crime risks, and you will collaborate closely with Compliance, AML, and Operations teams to enhance overall process quality.

Responsibilities

• Conduct detailed quality assurance reviews of CDD/KYC files, including client identification, beneficial ownership, and risk assessments.
• Ensure all records meet internal and regulatory standards, evaluating adherence to policies and regulations.
• Identify gaps, inconsistencies, or missing information within due diligence processes, supporting remediation efforts.
• Provide structured, actionable feedback to analysts and onboarding teams to improve quality and consistency.
• Enforce quality control frameworks and procedures to ensure standardization across CDD/KYC processes.
• Stay updated on global regulatory frameworks, such as FATF, and ensure compliance.
• Collaborate effectively with cross-functional teams, including Compliance, AML, and Operations.
• Document findings clearly and maintain accurate records of quality assurance reviews.
• Support the implementation of process improvements and best practices.

Qualifications

• Bachelor's Degree in a relevant field (e.g., Finance, Law, Compliance).
• Proven experience in CDD, KYC, AML, or Financial Crime Compliance within a regulated environment.
• Prior experience in a Quality Assurance or Quality Control role is strongly preferred.
• Strong understanding of customer due diligence requirements, including beneficial ownership and risk rating methodologies.
• Familiarity with regulatory frameworks such as BSA/AML, FATF, or equivalent global standards.
• Excellent attention to detail, with the ability to identify errors and inconsistencies.
• Strong analytical and problem-solving skills, with a risk-based decision-making approach.
• Effective communication skills, both written and verbal.
• Ability to work independently and manage multiple priorities in a fast-paced environment.
• Proficiency in Microsoft Office; experience with KYC/CDD systems is an advantage.