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Onboarding Associate (Compliance)

Full Time
City of London
Central London
14-04-2021 11:41 AM


Main responsibilities (but not limited to):

  • Onboarding and KYC of new clients
  • Review DD for new and existing clients to ensure compliance with AML and other legal and regulatory requirements
  • Conduct risk assessments and apply the adequate level of Due Diligence
  • Identify “red flags” at the start of a client relationship and during the ongoing monitoring – investigate further and escalate to the business where necessary
  • Conduct Adverse Media, PEPs and Sanctions check at the start of the relationship and monitor these on an ongoing basis
  • Proactively interact with the Sales Team to update them on the progress of their clients and manage expectations
  • Build and maintain relationships with major stakeholders
  • Maintain customer and account DD and AML records, and carry out ongoing reviews where necessary
  • Assist in remediation of legacy customer files to ensure documentation is correct and current
  • Perform DD checks on Give Ups, counterparties and Introducers
  • Support Compliance in any ad-hoc tasks including, but not limited to, drafting procedures, undertaking reviews, assisting with the collation of data to provide to regulators
  • Initiative to review and suggest updates to the process, procedures for a streamlined and compliant process


Candidate Profile

  • Previous experience in KYC/AML client onboarding role - preferably dealing with complex structures
  • Strong analytical and problem solving skills
  • Strong attention to detail
  • Ability to analyse complex structures to determine risk exposure and applicable DD/AML requirements
  • Ability to multitask and prioritise workload
  • Ability to work in a fast-moving environment
  • Ability to communicate clearly and concisely
  • Comfortable making decisions and escalating issues to manager as necessary
  • Knowledge of regulatory AML

Fergus Hooley


07425 325267