Wealth Management Policy & Quality Assurance Associate

TL;DR

Policy & Quality Assurance Associate (Wealth Management): Perform QA reviews on new and existing client KYC records across entity types with an accent on completeness, accuracy, and adherence to CIP, KYC, CDD requirements. Focus on evaluating ownership structures, source of wealth/funds, screening outputs, risk indicators, and identifying defects or gaps.

Location: Salt Lake City, UT, United States (office location)

Company

Leading global investment banking, securities and investment management firm headquartered in New York.

What you will do

• Perform QA reviews on client KYC records, assessing completeness, accuracy, and policy adherence
• Evaluate client data, documentation, source of wealth/funds, screening outputs, and risk indicators
• Assess ownership structures and validate ultimate beneficial owners and related parties
• Identify and articulate defects, gaps, or inconsistencies with reference to policies
• Partner with Operations and Compliance to resolve issues and support remediation
• Identify recurring issues, provide input for process improvements, and support knowledge sharing

Requirements

• 3+ years in KYC/AML/CDD, QA/QC, client onboarding, or periodic review
• Strong analytical and problem-solving skills with risk-aware mindset
• Understanding of client lifecycle, account structures, KYC/CDD policies
• Ability to review records, identify discrepancies, manage stakeholders
• High discretion with confidential information, prioritize tasks, meet deadlines
• Proficiency in Microsoft Office (Excel, Word), strong communication skills

Nice to have

• Relevant certifications (e.g., CAMS)

Culture & Benefits

• Commitment to diversity, inclusion, professional growth, and personal development
• Training, firmwide networks, wellness, personal finance offerings, mindfulness programs
• Team-oriented environment with flexibility and adaptability