Remote Accounts Onboarding & KYC/AML Specialist

Guggenheim Partners; New York (NY); Remote; USD 80,000 - 90,000; Full time

Job summary

Guggenheim Securities is recruiting an New Accounts Associate to support onboarding, KYC/AML, and client documentation for institutional accounts. You will coordinate with AML, Compliance, FinOps, and Legal teams to ensure compliance and timely processing.

This role emphasizes meticulous review of client files, continuous improvement of onboarding workflows using AI-enabled tools, and providing periodic reporting on status and deficiencies to senior management.

Qualifications

• Bachelor’s degree or equivalent experience required.
• Two to four years of relevant experience in account onboarding, KYC/AML, or comparable operations or control function.
• Must pass a background check.

Responsibilities

• Receive and process new account requests from sales personnel and liaise with clients.
• Manage periodic renewal of existing client accounts with KYC refresh and due diligence.
• Screen customers against sanctions lists and escalate outcomes to AML team.
• Coordinate with AML, Compliance, FinOps, Legal and Sales & Trading desk supervisors.
• Perform regulatory research and handle trade-level documentation.

Skills

KYC/AML compliance

Regulatory knowledge

Attention to detail

Time management

Communication

Team collaboration

AI tooling awareness

Problem-solving

Education

Bachelor’s degree or equivalent experience

Tools

Microsoft Excel

Visio

Access

Pershing NetX360

LSEG World-Check One

LexisNexis

DocuSign

Job description

Guggenheim Securities is recruiting an New Accounts Associate to support onboarding, KYC/AML, and client documentation for institutional accounts. You will coordinate with AML, Compliance, FinOps, and Legal teams to ensure compliance and timely processing.

This role emphasizes meticulous review of client files, continuous improvement of onboarding workflows using AI-enabled tools, and providing periodic reporting on status and deficiencies to senior management.