KYC Analyst

About Rockefeller Capital Management :

Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D.

Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London.

The Firm oversees $133 billion in client assets as of March 31, 2024.

Position :

The KYC Analyst will be part of Rockefeller Capital Management’s AML and Sanctions Compliance team. The Analyst is responsible for conducting diligence on Rockefeller Capital Management’s new and existing clients.

Specifically, the Analyst will assist with RCM’s Customer Identification Program ( CIP ), client due diligence, and enhanced due diligence at the onboarding phase.

With respect to existing clients, the Analyst will assist with periodic reviews and regular monitoring of client relationships.

Responsibilities :

Conduct diligence on new and existing clients using online research tools

Communicate with the business to ensure AML Compliance possesses the required information during the onboarding phase, and that all customer and account information is captured properly in the Firm’s various systems

Perform periodic reviews of existing clients to ensure identification of any changes in risk profile

Identify potential KYC issues and escalate to manager at onboarding and during periodic reviews

Track any identified issues for new or existing clients during periodic reviews and remediation efforts to ensure all identified issues have been timely resolved

Assist with FinCEN 314(a) searches

Assist with OFAC reviews

Assist the AML Compliance team, as needed, during audits and regulatory examinations

Qualifications :

Bachelor’s Degree required

2+ years of experience as part of an AML / Sanctions Compliance team

Knowledge of the Bank Secrecy Act ( BSA ), the USA PATRIOT Act, and FinCEN / SAR requirements

Securities background within Private Wealth Management is a plus

Skills :

Excellent research skills, including familiarity with online research tools (e.g., LexisNexis, World-Check)

Familiarity with automated onboarding and transaction monitoring systems

Strong writing, analytical, decision making / problem solving and communication skills

Strong organizational and time management skills

Compensation Range :

The anticipated base salary range for this role is $80,000 to $85,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown.

In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more.

Visit (url removed) to learn more about additional opportunities and benefits offerings.

Disclosure :

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc.

and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, Rockefeller ) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ( protected characteristics ).

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.