New Accounts Onboarding & KYC/AML Specialist

guggenheim; New York (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

Guggenheim Securities, LLC is seeking a New Accounts Associate to manage onboarding, KYC, and AML processes for opening and maintaining institutional accounts, supporting revenue-generating activities across product lines.

The role requires meticulous review of documentation, effective prioritization, and collaboration with AML, Compliance, Legal, and Sales teams. Familiarity with Pershing NetX360 and World-Check One is a plus.

Qualifications

• Knowledge of KYC, AML and related regulatory requirements.
• Experience reviewing account documentation and building client files to policy.
• Ability to prioritize and manage multiple tasks in a high-volume environment.

Responsibilities

• Receive and process new account requests from sales personnel, liaising with clients
• Manage periodic renewal of existing client accounts, including KYC refresh and due diligence
• Screen customers against sanctions lists using screening tools
• Coordinate with AML, Compliance, FinOps, Legal, Sales & Trading Desk Supervisors, Risk and Operations
• Review client files for completeness per policies
• Utilize NetX360 for opening customer accounts in Sales & Trading
• Handle RFI requests from external partners and clients
• Perform suitability assessments under confidentiality policies
• Apply AI-enabled tools to onboarding and FinCEN compliance workflows
• Produce reporting on onboarding status and regulatory requests
• Coordinate internal approvals and signoffs
• Participate in ad hoc projects and provide after-hours support during active periods

Skills

KYC expertise

AML compliance

Attention to detail

Regulatory knowledge

Communication skills

Education

Bachelor's degree preferred

Tools

World-Check One

Pershing NetX360

Job description

Guggenheim Securities, LLC is seeking a New Accounts Associate to manage onboarding, KYC, and AML processes for opening and maintaining institutional accounts, supporting revenue-generating activities across product lines.

The role requires meticulous review of documentation, effective prioritization, and collaboration with AML, Compliance, Legal, and Sales teams. Familiarity with Pershing NetX360 and World-Check One is a plus.