Compliance Analyst

Freight Investor Services
Cranford, UK
Closing date
22 Sep 2020

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Contract Type
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We have an exciting opportunity for a Compliance Analyst to join a dynamic, entrepreneurial and fast-moving broking environment. The role sits within a small Compliance team and is ideal opportunity for someone in a Compliance Assistant or Administrator position looking for the next step in their career. Ideal candidates will demonstrate solid experience in AML / Compliance role or in an Onboarding & Reviews role in a global financial services company.


· Communicate efficiently with respective client and/or broker to gather all necessary information;

· Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm's AML & KYC requirements are met;

· Identify, review and disposition of all PEP's, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;

· Classify clients from a risk and regulatory perspective;

· Investigate and escalate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the business;

· Assist in the full cycle of work on suspicious activity reports (SARs);

· Help update the Compliance Monitoring Programme;

· Monitor any material changes that may impact the risk status of client files;

· Remediate and refresh KYC documents of existing client in accordance with their risk banding;

· Provide regular status report on compliance activities, initiatives and daily operational undertakings to Compliance Manager;

· Assist the Compliance Manager in implementing, maintaining and enhancing compliance processes, policies and procedures of the firm to ensure adherence to regulatory requirements;

· Maintain local compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications, PEP list etc);

· Support with the oversight of staff disclosures and Individual Accountability regime requirements (such as SM&CR);

· Assist the Compliance Manager with Transaction Monitoring and call & communications monitoring;

· Support the Compliance Manager in the successful delivery of ongoingCompliance Training.

· Assist the Compliance Manager with day to day tasks and queries;

· Perform any other reasonable duties the company may require.


· Demonstrate knowledge of Compliance laws, rules, regulations, risks and typologies with emphasis on Joint Money Laundering Steering Group (JMLSG) and the Money Laundering Regulations (MLR) as well as MiFID II and FCA Regulation - essential;

· Possess good knowledge of AML/Sanctions compliance requirements and standards that impact a global financial services firm, such as KYC/client risk rating, suspicious activity reporting, client screening/sanctions requirements, and risk assessment - essential;

· Demonstrate strong technical knowledge of complex corporate structures including Trusts, Funds overseas jurisdictions (BVI, Channel Islands, Cayman Islands etc) - essential;

· Possess some knowledge of regulatory requirements in other jurisdictions ie Singapore - desirable;

· Experience in writing policies and procedures and management of such - desirable;

· Educated to degree level in a related subject matter and/or related industry qualification (ICA, ACAMS) - essential;

· Team Player - collaborative but also able to work independently with minimal supervision - essential;

· Strong written and verbal communications skills - essential;

· Strong work ethics, striving for the success of a small team - essential;

· Excellent attention to detail combined with inherent ability to prioritise work - essential;

· Demonstrate professional CPD - essential;

· Analytical decision-making skills during customer and transaction monitoring - essential;

· Excellent interpersonal skills, working well with others and diverse groups / personalities - essential;

· Experience of handling tests from a compliance monitoring programme and AML framework, and managing updates - essential;

· Adaptable to change and willing to work in a fast-paced environment with a positive approach - essential.

If the role is of interest and you are ready for the next step in your career, please get in touch, attaching a CV. Candidates who do not attach a CV will not be considered for the role.
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