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Page Personnel Finance
,
London, Greater London
AML/KYC Officer
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Job Type: Full-time |
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Salary: £28,000 per annum |
Overview
The primary responsibilities are to assist the MLRO and the DMLRO in the oversight and management of the Anti- Money Laundering (AML) and Financial Crime Prevention (FCP) requirements of the department and the firm. Client Details The client is one of the UK's leading independent institutional stockbrokers and corporate advisors. We are recognised as being one of the leading providers of capital for UK listed companies. Description Summary of Main Tasks and Responsibilities Client due diligence: Ensure due diligence is performed on all new /existing clients, maintaining appropriate records and assisting with related queries To undertake an AML risk assessment on all new clients Categorising new clients as per MiFID requirements Preparation of new clients forms Conducting ongoing due diligence checks for existing clients Monitoring transactions undertaken by clients' accounts deemed to be higher risk Screening of new/existing clients for adverse news and against sanctions lists Reporting any suspicions of Money Laundering/ Terrorist Financing to the MLRO / DMLRO Identify AML/FCP training needs of staff and assist with the training To assist with the updating and maintenance of AML /FCP Policies and procedures as necessary To assist Corporate Finance and Corporate Broking with the checks on director's questionnaires and director's declarations for clients where the firm is either the Nomad (AIM) or acts as Sponsor (LSE). To perform and manage other assignments, from time to time in accordance with requests from the line manager Other responsibilities To contribute to production of monthly management information on key Financial Crime metrics. To assist in project work Assist the team to actively promote and maintain the compliance culture within the firm To assist in any other ah-hoc task the department may embark on To travel as required on behalf of the Company Such other comparable duties that may be required or requested by your line manager Regulatory Responsibilities This role is subject to the conduct rules and (where applicable) the certification regime as set out in the FCA's senior manager and certification regime ("SMCR"). As a result, you should be familiar with the Conduct Rules and other SMCR requirements and act at all times in accordance with such provisions and standards. Further details regarding the application of the SMCR to this role will be detailed in the employment contract. To act at all times in accordance with the regulatory requirements in force relating to the relevant principles in place for approved persons, ensuring compliance with changes which may take effect from time to time Maintain a high standard of conduct, ethical standards and values Adhere to and proactively enhance the firm's compliance with applicable laws, regulations and codes of conduct in all jurisdictions in which the Firm conducts business and which have an impact on its business Work to identify risks and enhance control across the business Report control weaknesses, illegal, suspicious or unusual activity Maintain an appropriate level of competence through ongoing training, making requests for updates or development as required Other Responsibilities To travel as required on behalf of the Company Such other comparable duties that may be required or requested by your line manager Profile 1-2 years AML/KYC experience covering client take on (preferably within an investment bank or stock broker) and a knowledge of current Financial Crime Regulation and market practice on client due diligence Excellent written skills Excellent inter-personal skills to communicate clearly and effectively at all levels both across the department and wider business (both internally and externally) Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries First class organisational skills, good attention to detail and accuracy are essential Ability to work well under pressure and meet tight deadlines Advanced knowledge of Microsoft Word & Excel Job Offer Up to £35,000 annual salary Competitive benefits package Support to study qualifications