We have been exclusively instructed by our client, a leading wealth management business, who are looking to hire a Junior Compliance Analyst for the team in London.
THE RESPONSIBILITIES:
Maintain tracker of legal and compliance milestones in relation to client take-on/ transactions
Document and report the review/investigation findings and prepare case files with the required supporting documentation.
Client onboarding in line with current AML regulations and internal policies.
Conduct screening checks for new customer
Process client take-on and associated AML/KYC tasks for the business.
Present required AML / KYC documentation to the MLRO to assist in client onboarding or review. Assist with day-to-day operations such as minute taking and record keeping
Investigate and research on potentially suspicious clients using various internal and external systems and databases.
Provide ongoing monitoring and trade surveillance of new and existing clients
Maintain records of all client onboarding and/or subsequent review.
Participate in as-needed risk assessments and audits
Reviewing policies and amending as and when required.
Liaising with front office when collecting client due diligence.
Producing management information as and when required and attending and minuting various committees.
Assist with staff PA dealing reconciliation
Any ad-hoc project work.
EXPERIENCE REQUIRED:
Degree educated with minimum 2:1
Previous experience working in a compliance team would be beneficial but not essential.
A good understanding of the regulatory landscape faced by the UK financial services industry.
Excellent Excel, PowerPoint, and Word Skills.
Understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering and Financial Crime.
Good awareness and understanding of SMCR, the FCA and regulatory framework
For further information please contact Marcus Courtney
