Asset & Wealth Management Operations Private-Alts Pvt KYC Group-Dallas-Vice President (KYC)

TL;DR

Vice President (KYC/AML): Managing client onboarding and regulatory compliance for the Private Alternatives division with an accent on AML/KYC policies and risk mitigation. Focus on leading PEP and sanctions reviews, improving control frameworks, and mentoring junior team members to ensure seamless client integration.

Location: Onsite in Dallas, TX, United States

Company

A leading global investment banking, securities, and investment management firm founded in 1869.

What you will do

• Provide oversight of customer due diligence and regulatory checks to ensure adherence to AML/KYC policies.
• Lead PEP, sanctions, and adverse media review processes, escalating material concerns to Legal and Compliance.
• Partner with Business, Legal, and Operations teams to deliver seamless front-to-back onboarding.
• Communicate requirements to external stakeholders to optimize the client onboarding experience.
• Identify emerging risks and control gaps, proposing remediation plans and strategic improvements.
• Mentor junior team members through guidance, feedback, and subject matter expertise.

Requirements

• Bachelor’s degree.
• 7 years of relevant experience in financial services, operations, compliance, or client onboarding.
• Strong analytical and risk management skills with a control-focused mindset.
• Ability to build relationships and communicate complex requirements to senior stakeholders.
• Ability to operate effectively in a fast-paced, team-oriented environment.

Nice to have

• Knowledge of financial markets, products, and investment structures for private alternatives.
• Familiarity with Customer Identification Program (CIP), KYC, and AML regulatory requirements.
• Understanding of complex corporate structures and their impact on due diligence.
• Experience in high-touch client service within a regulatory operations environment.

Culture & Benefits

• Training and professional development opportunities to grow professionally and personally.
• Extensive firmwide networks and a commitment to diversity and inclusion.
• Comprehensive wellness, personal finance offerings, and mindfulness programs.
• Flexible and inclusive workplace culture with support for candidates with special needs.