Compliance Specialist

The Capital Markets Europe team is a newly-formed division and provides our institutional clients with a comprehensive range of specialist debt and capital markets administration services.

Day to day responsibilities will focus on supporting the Compliance team on a second line of defense role; the Compliance team provides guidance to the first line on customer onboarding, KYC requirements and take the necessary steps to report financial crime. The ideal candidate is a highly motivated, inquisitive manager with a background in Client Onboarding, AML investigations and preferably knowledge of trust services regulations, who is extremely customer and team focused. This role would suit an ambitious, energetic person keen to progress further in a dynamic, rapidly-growing business.

Some of the things you will be doing:

• Assist the Compliance team with the day-to-day tasks and obligations linked to Know Your Customer (KYC) review processes in a second line of defense role.


• Monitoring data entry and prepare internal reporting to assure client data are correctly recorded in the KYC by the first line of defense.


• Updating internal database to track deadlines to conduct mandatory KYC reviews according to risk levels.


• Support the business when high risk factors are escalated to the second line for further guidance (PEPs, sanctions and adverse media screening) following a risk-based approach.


• Liaising with stakeholders across multiple jurisdictions to facilitate harmonization of current UK Policies and procedures with company global standards.


• Implement a monitoring program that will include sample tasting to ensure CDD collected on new and existing clients is complete and accurate, ensuring decisions are fully reasoned and that all supporting documents are collected and maintained by the business. Report any findings to the Head of Compliance and collaborate to conduct remediation plans when necessary.


• Support the business with its screening facilities for PEPs, sanctions and adverse media screening, following a risk-based approach.


• Be familiar with a diverse range of capital markets structures and products, in order to provide the right recommendations to the business to mitigate risk factors.


• Assist the business in identifying areas of enhancement in the Compliance policies and procedures.


• Assist the Compliance team with other financial crime related tasks and projects as required.


• Support new joiners' training.
  
  1-3 years Compliance department experience.


• Minimum educational requirements: two-year degree.


• Familiarity with KYC requirements for clients' identification and verification.


• Knowledge of different types of corporate, partnership and trust entities.


• Ability to adhere to and apply compliance policies and procedures.


• Understanding and knowledge of traditional money laundering and terrorist financing typologies.


• Understanding or experience with LexisNexis® Bridger Insight® XG or Refinitiv World-Check One or other on-chain monitoring solutions.


• Experience of conducting company searches.


• Ability to handle a high volume of tasks while maintaining attention to detail and prioritizing, as necessary.


• Strong organizational and time management skills.


• Conscientious and diligent.


• Ability to communicate with all levels of the firm professionally and tactfully.


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