Executive, KYC Operations

Roles and Responsibilities

• Follows procedures to ensure alerts are responded to in a timely manner (focus is on alerts in a single area).
• Raising unresolved queries to the next level of support and ensures accurate recording, documentation, and closure of alerts.
• Perform data gathering and analysis for new client onboarding, periodic reviews, for all new clients.
• Review all trigger events related to existing clients, where required gather additional supporting documentation.
• Thoroughly and succinctly detail the research and analysis related to the financial activity and related entities of Clients, for an audience that includes Management, Regulators, Legal and Internal Compliance.
• Undertake AML and sanction/PEP screening, on-boarding due diligence checks and ongoing monitoring ensuring that consistent processes are followed in line with global strategy and requirements.
• Ensure sanction/PEP screening are conducted and accurate course of action is taken.
• Carry out complex research/investigations to confirm whether the potential matches to global sanctions lists are actual matches according to laid down guidelines.
• Maintain databases and documentation and suggest controls to ensure we align with regulations.
• Presenting to partners including colleagues and front office account managers as part of the onboarding, periodic review, trigger events and offboarding processes.
• Support team members with AML checks.
• Maintain communications within the business to ensure material issues related to financial crime prevention are raised as required.
• Perform Quality Control checks of KYC/AML files.

Preferred Skills and Experience

• A bachelor’s degree in law or business administration in a related field together with equivalent working experience.
• Minimum 2 or more years of experience in KYC/AML.
• Be effective in finding data from a number of sources/systems and accurately transfer Maintain personal compliance of operational and regulatory risk.
• Practical financial crime experience or transferable skill.
• A curiosity about financial crime matters.
• A good level of awareness of legal corporate entities and corporate group structures.
• Financial Crime investigation, prevention and/or detection work preferably in the financial services or asset management industry.
• Perception of AML Risk Based Approach concepts.
• Sound knowledge of sanctions and politically exposed persons screening systems and transaction monitoring systems.

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