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KYC Specialist - Institutional Broker-Dealer

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    75,000 - 95,000

  • Contact:

    Connor Dueñas

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Chicago KYC

  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


We are working with an Institutional Broker-Dealer who is looking for a KYC Specialist to build out their growing team.

Hamlyn Williams has partnered with a Chicago Based Broker-Dealer to build out their KYC, client onboarding function. The build-out will help the Broker-Dealer to achieve a number of strategic growth objectives and meet heightened regulatory standards given the current environment. We are currently recruiting a KYC Specialist to help with their compliance expansion in Chicago.

If you are a KYC Specialist with experience in institutional Broker-Dealers, this is an excellent opportunity for you.

What you'll be doing:

  • On-board institutional clients and counterparties, including KYC initial onboarding and annual account maintenance
  • Establish and maintain long-term working relationships directly with the Firm’s counterparties and clients
  • Work directly with the counterparty to ensure all required documentation is received and disseminated
  • Assist with the draft and maintenance of institutional client policies and account disclosures
  • Liaise with internal compliance and legal teams to prepare and deliver documentation required to establish the relationship with the counterparties
  • Work with the Firm’s trading teams to ensure awareness of the state of the onboarding process
  • Maintain and update the Firm’s database of existing institutional clients and prospective clients
  • Create and deliver summary reports to head traders and senior management
  • Protect the confidentiality of all materials in accordance with the Firm’s internal policies and procedures

What they're looking for:

  • 2-5 years of relevant work experience with a trading firm, bank, or other financial institution
  • Experience with the KYC / compliance administration of an institutional client business
  • Significant written and verbal experience facing institutional clients / counterparties
  • Bachelor’s degree in relevant field
  • Exceptional written and verbal communication skills
  • Ability to meet deadlines and work well under pressure
  • Basic understanding of the financial markets and operations
  • Outstanding organizational skills and strong attention to detail in a fast-paced environment
  • Ability to work and succeed independently as well as in a team environment
  • Experience with Microsoft Office products
  • Series 7 (or ability to obtain within 90 days of employment)

For more information contact Connor Duenas at Hamlyn Williams at

(646) 349-2806