KYC / AML Onboarding

- Perform end-to-end KYC and AML due diligence for new investors, counterparties, and fund-related entities.

- Review investor onboarding documentation for completeness, accuracy, and validity.

- Identify and validate:

- Legal entity name

- Registered address

- Incorporation details

- Business activities

- Ownership structure

- Directors / authorized signatories

- Ultimate Beneficial Owners (UBOs)

- Perform customer risk classification based on established policies.

- Identify missing or inconsistent information and initiate remediation.

- Maintain complete and accurate KYC records.

- Perform KYC reviews for PE funds, institutional investors, asset managers, corporates, family offices, and investment vehicles.

- Review complex ownership structures involving multiple jurisdictions.

- Understand client-specific KYC requirements and documentation standards.

Enhanced Due Diligence (EDD)

- Perform Enhanced Due Diligence on higher-risk investors and entities.

- Conduct detailed reviews of:

- Complex ownership structures

- UBOs

- Source of Wealth

- Source of Funds

- Business activities

- Geographic exposure

- Adverse media

- Prepare EDD summaries and supporting documentation.

- Escalate potential risk indicators in accordance with established procedures.

Screening &

- Risk Assessment

- Perform screening against applicable:

- Sanctions lists

- PEP databases

- Adverse media

- Watchlists

- Regulatory and enforcement databases

- Investigate potential name matches and document disposition of alerts.

- Conduct customer risk assessments and periodic risk reviews.

- Escalate potential sanctions, PEP, adverse media, or AML concerns to appropriate compliance teams.

Periodic Review &

- KYC Remediation

- Conduct periodic KYC reviews based on investor/entity risk classification.

- Track upcoming KYC refresh requirements and ensure completion within SLA.





- Perform remediation of outdated or incomplete KYC records.

- Follow up with investors, relationship teams, and internal stakeholders for missing documents.

- Maintain KYC trackers and ensure timely closure of outstanding items.

Beneficial Ownership Analysis

- Analyze complex ownership structures to identify UBOs and controlling persons.

- Review corporate structures, holding companies, trusts, partnerships, funds, and SPVs.

- Prepare ownership charts and supporting analysis where required.

- Validate ownership information against reliable corporate and regulatory sources.

- Apply applicable beneficial ownership thresholds according to client and regulatory requirements.

Regulatory &

- Tax Documentation

- Review and maintain relevant investor documentation, including:

- W-8BEN

- W-8BEN-E

- W-8IMY

- W-9

- FATCA documentation

- CRS self-certifications

- AML/KYC declarations

- Entity classification documents

- Support FATCA and CRS compliance processes.

- Identify discrepancies between KYC information and tax documentation.

- Coordinate with Tax and Investor Services teams for resolution.

Compliance Monitoring &

- Reporting

- Maintain compliance trackers, dashboards, and management reports.

- Monitor KYC completion, pending documentation, remediation status, and overdue reviews.

- Prepare periodic MIS and management reports.

- Track compliance exceptions and escalations.

- Support internal and external audits.

- Ensure appropriate documentation and audit trails are maintained.

Client &

- Stakeholder Management





- Act as a point of contact for KYC-related queries from clients and internal teams.

- Coordinate with:

- Investor Services

- Fund Accounting

- Legal

- Tax

- Compliance

- Relationship Management

- Fund Administration teams

- Communicate outstanding KYC requirements clearly and professionally.

- Manage escalations and ensure timely resolution within agreed SLAs.

Candidates should be comfortable working with multi-jurisdictional structures and documentation and coordinating with international stakeholders.

Systems / Tools

Experience with one or more of the following is preferred:

- KYC / AML platforms

- World-Check / Refinitiv

- Dow Jones Risk &
- Compliance

- LexisNexis

- ComplyAdvantage

- Onfido or similar verification platforms

- Salesforce / CRM systems

- SharePoint / workflow platforms

- Microsoft Excel / Advanced Excel

- Power BI or other reporting tools

Required Qualifications

- Bachelor's degree in Finance, Accounting, Commerce, Business Administration, Law, or related discipline.

- 3–8 years of relevant KYC / AML / Compliance / Client Onboarding experience.

- Robust understanding of:

- KYC

- AML

- CDD

- EDD

- UBO identification

- PEP screening

- Sanctions screening

- Adverse media

- FATCA

- CRS

- Experience reviewing corporate and investment-fund structures.

- Strong analytical and investigative skills.

- Excellent attention to detail.

- Strong written and verbal communication skills.

- Ability to manage multiple cases and meet defined SLAs.

Preferred Qualifications

- Experience in Private Equity / Alternative Investments / Fund Administration.

- Experience with complex multi-layer ownership structures.

- Experience with institutional investors and investment funds.

- CAMS, ICA, ACAMS, CFE, or other relevant compliance certification is an advantage.

- Experience working with global clients and offshore/onshore delivery models.

📌 Subject Matter Expert - KYC & Compliance (Bengaluru)
🏢 ThoughtFocus
📍 Bengaluru