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Compliance Specialist

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

COMPLIANCE SPECIALISTMain duties and responsibilities:

  • Ensure all DD and KYC performed on all prospective clients and they are correctly categorised in accordance with the rules and regulations and relevant categorisation letters/notices sent in accordance with UK ML Regulations and internal policies and procedures
  • Carry out screening processes for PEP, Sanctions and Adverse Media using external screening providers (e.g. World Check), including daily screening.
  • Assessing clients risk ratings
  • Escalate any discrepancies to the Head of Compliance/MLRO for agreement on actions required and recording them.
  • Review the information to ensure completeness and accuracy.
  • Understanding of how to identify and verify a UBO (Ultimate Beneficial Owner) and verifying their Source of Wealth and Source of Funds.
  • Meet agreed targets for the KYC reviews in terms of timeframe and quality.
  • Monitoring of customer due diligence measures and clients business relationships;
  • Updating clients’ static data in accordance with any changes
  • New employee onboarding, including registration as Certified persons or as Approved Persons, including filling Cerified persons form, regulatory training, all related compliance form.
  • Communicate with traders and operations regarding priority clients
  • Uploading and upding information on Makor X
  • KYC refresh of Makor Clients in line with internal procedures and regulatory requirements
  • Submitting answers to the clients queries, including KYC refresh
  • Obtaining KYC document required by the NFA and related KYC procedures
  • Completing various filings on Connect ready for submission
  • Ad hoc tasks- assisting the head of Compliance with information gathering for audit, regulatory assessment; meeting with consultant for the training regarding WorldCheck and other 3rd part providers;
  • Learning, when necessary, new systems and databases needed for ad hoc tasks
  • Updating the breach logs and all other spreadsheets
  • Preparing monthly MI for and delivering to the Head of Compliance/MLRO
  • Sending for completion Bi-annual Certifications
  • Sending for completion Annual Declarations
  • Arrange yearly and ad-hoc training for all employees
  • Assisting Head of Compliance in Certification of all relevant employees and the annual Certification process

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