Customer Due Diligence (CDD) Specialist

SUMMARY:
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POSITION INFO:

The Quality Control team is responsible for the quality checking of client instructions (forms) against established product and business rules before submitting those instructions for ultimate processing. These instructions include new business, additions, switches, repurchases, static changes, broker changes, etc. This must be done accurately and within an agreed upon turnaround times. Our client is seeking a highly organized and detail-oriented Customer Due Diligence (CDD) Specialist to manage continuous monitoring and customer due diligence processes. This role is essential in ensuring compliance, managing risk, supporting business transformation, and driving operational excellence. The successful candidate will be responsible for the end-to-end lifecycle of CDD activities, from planning and execution to risk mitigation and stakeholder reporting.

Responsibilities:

• Project and Process Management:
  • Define the scope, objectives, and deliverables of due diligence projects in alignment with business goals and stakeholder expectations
  • Develop and manage detailed plans
  • Support the implementation of process improvements to reduce variation, eliminate inefficiencies, and enhance quality
• Ongoing Customer Due Diligence:
  • Conduct and oversee regular checks (QC) and reviews to ensure compliance with internal policies and external regulations
  • Ensure timely and accurate completion of customer due diligence reviews within required turnaround times and SLA standards
  • Investigate and resolve errors or issues with customer due diligence submissions, taking full ownership of resolution
• Collaboration and Communication:
  • Liaise with internal teams, to resolve queries and ensure completeness of customer due diligence documentation
  • Maintain open, transparent communication with stakeholders and provide regular updates to management
  • Attend and contribute to team meetings, training sessions, and ongoing development initiatives
  • Support team members during periods of high workload or absence, promoting a collaborative team culture
• Compliance and Documentation:
  • Ensure all forms and online submissions meet business rules, including appropriate signatories, broker permissions, and security checks
  • Adhere to all business rules, regulatory requirements, and operational procedures
  • Complete tasks within specified cut-off times and maintain a high level of accuracy

Requirements:

• Bachelor degree in Business, Finance, Compliance, Risk Management, or a related field
• 3 - 5  years working experience in due diligence, compliance, project management, or operational roles
• Familiarity with industry-specific tools and platforms used in due diligence or client onboarding processes
• Previous involvement in transformation or change management projects is advantageous
• Strong understanding of compliance, regulatory frameworks, and ongoing customer due diligence best practices
• Excellent problem-solving and risk assessment capabilities
• Proficient in using technology to automate workflows and improve process efficiency
• Strong interpersonal and communication skills; ability to work cross-functionally
• Flexibility to adapt to changing structures, deadlines, and priorities
• High attention to detail and accountability for work quality

Some of the attributes we look for in a person are:

• The ability to build and maintain meaningful relationships
• The ability to ‘approach and own’ and continuously look for opportunities to develop
• Intellectual curiosity
• Ability to analyse, interpret and assimilate information
• A curiosity about technology and its potential to drive innovation