Stephanie Carter
@stephaniecarter2
KYC remediation and client onboarding specialist with 12 years in financial compliance.
United StatesWhat I'm looking for
I’m a KYC remediation and onboarding analyst with 12 years of experience in the financial industry, partnering as a subject matter expert to ensure accuracy with US Government regulations, AML/KYC standards, and tax requirements. I’m a problem solver and team player who adapts quickly to any situation while holding a strong commitment to excellence.
In roles including Client Onboarding Specialist and KYC Business Analyst, I build and maintain KYC profiles, conduct due diligence and enhanced due diligence (EDD), and review/submit maintenance requests such as adding signers, POA, and view access. I also analyze customer transactional activity for potential suspicious activity and risk ratings, and I track and respond to documentation status issues.
I’ve strengthened compliance outcomes by completing audits and ensuring KYC profiles were completed accurately for low, medium, and high-risk individuals and PEPs. My work includes successfully remediating Canadian entities with an A grade by internal audit and Federal review, auditing entity clients before year-end deadlines, and reviewing/approving 50+ individual clients each week for retention or onboarding.
Experience
Work history, roles, and key accomplishments
Served as a subject matter expert in client documentation for private bank onboarding, ensuring accuracy with U.S. government regulations, Citi Private Bank standards, and tax requirements. Built KYC individual and entity profiles and submitted maintenance requests such as add signer, POA, and view access.
KYC Business Analyst
National Bank of Canada
Aug 2019 - Dec 2019 (4 months)
Adhered to AML/KYC compliance and served as a subject matter expert in client documentation, due diligence, regulation, and account remediation for business entities and individuals.
Supported AML/KYC compliance as a subject matter expert in client documentation, due diligence, regulation, and account remediation for high net-wealth clients and specialized entity types. Composed KYC tickets, performed follow-up, escalated regulatory risks when necessary, and assisted client onboarding with ongoing account review.
Performed KYC audits focused on client documentation and account authorized parties for individuals and entities, ensuring compliance with wealth management guidelines. Liaised with KYC analysts, assured KYC/AML controls, and tracked documentation status/issues.
Improved compliance with AML and other regulatory/legal requirements by partnering with district and branch management to manage risk. Completed EDD and KYC reviews, including PEP and risk-based profile completion, recommended relationship retention or offboarding, escalated adverse news, and reviewed transactions for alignment with account purpose.
Worked with the branch manager for day-to-day operations, completed branch audits and reviews, and managed general ledger tasks. Managed branch staff and supported customers by resolving issues and complaints.
Education
Degrees, certifications, and relevant coursework
Oberlin Conservatory of Music
Bachelor of Music, Vocal Performance
Earned a BM in Vocal Performance from Oberlin Conservatory of Music.
Tech stack
Software and tools used professionally
Availability
Location
United StatesAuthorized to work in
Job categories
Skills
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