THE POSITION REQUIRES CANDIDATES WITH 1-3 YEARS EXPERIENCE IN A BROKING OR INVESTMENT BANKING ENVIRONMENT. A LEGAL DEGREE WOULD BE SEEN AS A POSITIVE.
THE COMPANY:
We are delighted to be working with a niche broking firm in their search to find a KYC Analyst. The business has an international presence and is looking to expand over the next 12 months.
THE RESPONSIBILITIES:
Onboarding new counterparties following existing KYC, due diligence and compliance policies.
Periodically review and update existing compliance policies and KYC procedures in line with changes in law, sanctions and company risk appetite.
Develop and maintain a database of KYC approved counterparties in line with data protection and retention policies.
Audit compliance with company compliance and KYC policies. Periodically review counterparties.
Monitor UK, US, EU and other applicable jurisdictions sanctions laws to ensure compliance.
Monitor UK, US, EU and other applicable jurisdictions sanctions listings and cross check against client lists.
Undertake ongoing sanctions screenings on business activities in high-risk jurisdictions to ensure compliance with relevant laws and sanctions, liaising with specialist external legal council as necessary.
Investigate and escalate potential sanctions risks with the directors as necessary.
Ensure reporting obligations are adhered to in line with sanctions laws and regulations.
Manage broker panel onboarding, reviews, and ongoing monitoring
Review broker service agreements to ensure compliance with regulatory and internal requirements.
Monitor company compliance with broker service agreements and report breaches to the Directors.
Track execution, renewals, and amendments of broker agreements.
Liaise with Client Legal and Commercial teams on broker agreement contractual matters.
Ensure broker agreements align with approved broker panel terms.
EXPERIENCE REQUIRED:
1-3 years KYC experience within a broker or investment bank ideally with experience of sanctions screening software (World-Check/Dow Jones)
Knowledge of dealing with higher risk counterparties
A law degree would be desirable.
For further information please contact Marcus Courtney
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