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Compliance KYC Analyst

Compliance KYC Analyst

Posted 25 June by Robert Walters
Easy Apply Ended

An excellent opportunity is available with a multi-award winning financial services firm that provides execution and clearing services to broker-dealers, wealth managers, family offices and professional traders utilising state-of-the-art technology with offices based in London, Cheltenham, and Cape Town. The role will be hybrid working (remote and office working).

Reporting to the Team Manager, the role of Compliance KYC Analyst will play a key part of the client journey and the Compliance Oversight process for the whole business. The individual will assist the Onboarding and Sales teams responsible for the client relationships, to complete client KYC reviews, ensuring strict adherence to KYC policies and procedures and Anti Money Laundering (AML) rules. You will be engaged in all aspects of the company's compliance activities; including assisting in the implementation of the Compliance Monitoring Plan and general oversight of compliance related subjects.

Key Responsibilities:

  • Working with the Onboarding team to complete CDD and EDD on potential clients to obtain the required onboarding information and documentation
  • Ongoing existing Client monitoring, screening for sanctions, PEPs and adverse media related content / alerts
  • Assisting with the design, implementation and execution of the Compliance Monitoring Programme based on the Compliance Risk Assessment
  • Assist the Compliance Function in monitoring regulatory communications and deadlines and ensuring that such is properly communicated to affected staff.
  • Maintain records and information regarding the Company's interactions on Complaints handling, interactions with external parties including its Regulators
  • Carrying out routine monitoring in relation to the firm's compliance risks including; transaction monitoring in relation to suspicious activity, pa dealing, gifts and entertainment, AML/CDD/EDD
  • Assisting with regulatory change monitoring and tracking
  • Have an understanding of the regulatory environment, and values and abilities consistent with the FCA conduct rules
  • Assisting with drafting and maintaining of compliance standard policies and procedural documents, including AML, ABC and Sanctions

The Compliance KYC Analyst will possess an excellent understanding and knowledge of current compliance and AML regulations. You will have a strong background operating within a similar compliance role and have an excellent understanding of current industry and FCA handbook legislation, regulation and practices. You will have exposure to executing a compliance monitoring program, have effective communication skills and a proven ability to liaise with external parties and senior management.

This is an excellent opportunity with an award winning firm. Please apply now or for further information contact Kayte Short at Robert Walters at

Reference: 43160326

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