The Role
Leads Americas-wide client due diligence, KYC, AML controls, account lifecycle operations, and client data governance. Oversees onboarding, beneficial ownership analysis, enhanced due diligence, screening, reconciliations, remediation, audits, regulatory readiness, KPIs, automation, and process improvements. Builds and manages a high-performing team while partnering with Compliance, Technology, and senior leadership to maintain accurate records, strengthen controls, and ensure timely risk reporting.
Summary Generated by Built In
Cantor Fitzgerald Securities is seeking a seasoned Head of Client Due Diligence and Data Management for the Americas. This senior leader will own the quality, timeliness, and control of client due diligence, KYC processes, and client data across the lifecycle, partnering with Compliance, Technology, and senior management to drive automation, data governance, and regulatory readiness.
Responsibilities
- Direct CDD/KYC operations across the Americas, including new client onboarding, enhanced due diligence, periodic and event‑driven reviews.
- Oversee client identification, beneficial ownership assessments, and documentation of business activities and risk profiles.
- Ensure risk assessments, screening reviews, and escalations are completed, documented, and maintain a clear audit trail.
- Manage operational controls for account setup, maintenance, restrictions, and closure, securing required KYC approvals in all systems.
- Maintain accuracy, completeness, and consistency of client and account data, including legal entity records and hierarchy links.
- Implement data validation and reconciliation controls to detect duplicates, missing information, and discrepancies; lead remediation efforts.
- Develop and maintain documented CDD/KYC, account management, and data maintenance procedures with defined ownership and escalation paths.
- Partner with Compliance to apply policy and regulatory changes, support audits, examinations, and remediation of findings.
- Establish and monitor KPIs and service standards for timeliness, backlog, quality, data integrity, and control exceptions; report risks to senior leadership.
- Recruit, train, and lead a high‑performing team, driving automation and process improvements to enhance efficiency and scalability.
- Minimum 10 years of CDD/KYC, client account operations, or data management experience in financial services or a regulated institution.
- Deep knowledge of AML, KYC, BSA, OFAC, and related U.S. and international regulatory requirements.
- Expertise in beneficial ownership analysis, complex legal entity structures, risk assessment, and enhanced due diligence.
- Proven experience managing account lifecycle controls and linking KYC approvals to account records.
- Strong understanding of data governance, record reconciliation, and quality control across multiple systems.
- Demonstrated ability to lead teams, prioritize competing demands, and deliver operational improvements while maintaining controls.
- Experience supporting audits, regulatory examinations, and remediation initiatives with robust documentation skills.
- Proficiency in Excel and KYC/client data platforms; familiarity with SQL, Power BI, or similar analytical tools is a plus.
- Excellent analytical judgment, attention to detail, and written/verbal communication skills for senior‑level risk reporting.
- Track record of driving automation and process innovation to improve scalability and efficiency.
Skills Required
- Minimum 10 years of CDD/KYC, client account operations, or data management experience in financial services or a regulated institution.
- Deep knowledge of AML, KYC, BSA, OFAC, and related U.S. and international regulatory requirements.
- Expertise in beneficial ownership analysis, complex legal entity structures, risk assessment, and enhanced due diligence.
- Experience managing account lifecycle controls and linking KYC approvals to account records.
- Strong understanding of data governance, record reconciliation, and quality control across multiple systems.
- Demonstrated ability to lead teams, prioritize competing demands, and deliver operational improvements while maintaining controls.
- Experience supporting audits, regulatory examinations, and remediation initiatives with robust documentation skills.
- Proficiency in Excel and KYC/client data platforms.
- Familiarity with SQL, Power BI, or similar analytical tools.
- Excellent analytical judgment, attention to detail, and written and verbal communication skills for senior-level risk reporting.
- Track record of driving automation and process innovation to improve scalability and efficiency.
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The Company
What We Do
Cantor Fitzgerald is a leading global financial services firm, serving clients from over 30 offices around the world. Founded in 1945 as a securities brokerage and investment bank, the firm pioneered computer-based bond trading, built one of the broadest distribution networks in the industry and became the market’s premier dealer of government securities. Today, Cantor Fitzgerald is known for its strength across a diverse array of businesses, including equity and fixed income capital markets, investment banking, commercial real estate finance and services, prime brokerage, asset management and wealth management, and e-commerce and online ventures. In all its businesses, the firm is an acknowledged leader in developing advanced technologies to expand market access, and help clients achieve their most important financial and strategic objectives. This commitment to client-centered innovation has led to enduring relationships with many of the world’s most demanding institutional investors and corporations. For more information please visit www.cantor.com.
