KYC Refresh/Periodic Review Analyst
London - Hybrid
£40,000.00 per annum
Sterling Williams are currenlty working with a leading broker who are looking for a permanent KYC Refresh/Periodic Review Analyst.
Responsibilities:
- Ensure that appropriate CDD/KYC and AML checks are performed on all existing customers, and in accordance with local regulatory requirements, in conjunction with the Financial Crime Compliance team.
- Assist with project work if requested.
- Ensure that appropriate customer categorisations are carried out in accordance with local regulatory requirements.
- Manage the Client Outreach process effectively and raise any issues or concerns to the PR Team Lead in a timely manner.
- Ensure that the integrity of the static data inputted by the Onboarding Team into the Client Data Base (a.k.a. PeopleSoft) is accurate. To be validated and amended during periodic review.
- Ensure that desk procedures are kept up to date.
- Ensure that the Front Office is advised, when necessary, of the relevant Group's KYC minimum standards procedure and documentation requirements.
- To assist on ad-hoc trigger reviews, projects, audits that the Periodic Review department is required to carry out.
- Efficiently deal with general day-to-day ad-hoc queries.
- Work closely with the Financial Crime Compliance team.
- Ensuring compliance with the company's regulatory requirements under the FCA.
- Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
- Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
- To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
- To report any breaches of policy to Compliance and/ or your supervisor as required
- To escalate risk events immediately
Competencies
- Excellent verbal and written communication skills
- A collaborative team player, approachable, self-efficient and influences a positive work environment
- Demonstrates curiosity
- Resilient in a challenging, fast-paced environment
- Ability to take a high level of responsibility in a fast pace and high-volume environment
Skills and Experience
- Understanding of KYC principles and knowledge of corporate structures
- Awareness and knowledge of; FCA Handbook, JMLSG, AML/ABC/TFregs
- Research and analytical skills with the ability to summarise complex findings
- Effective written and oral communication
- Self-motivated, organised, pragmatic whilst being able to deliver under pressure
- Analytical skills
- Problem solving skills
- Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.