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Compliance AML and Monitoring Officer
3 weeks ago
THE COMPANY:
Our client is a leading securities business. They are looking for a Compliance AML and Monitoring Officer to join the team.
THE RESPONSIBILITIES:
- Full responsibility for managing the onboarding of clients, including regulated entities, private corporates, funds etc.
- Undertaking CDD and AML reviews (initial and ongoing) including PEP client acceptance process
- Undertake AML and Sanctions checks as part of onboarding
- Monitor, resolve or escalate (as appropriate) alerts generated daily in the AML/Sanctions system
- Undertake MAR surveillance using Liquid Metrix, review alert settings and test parameters including the daily alert review and escalation process
- Production of Best Execution and TCA reports using Liquid Metrix
- Undertake monitoring reviews in line with the Compliance Monitoring Plan
- Monthly e-communication and voice recording reviews
- Maintenance and update of departmental procedures relevant to the above tasks
- Production of monthly Management Information in respect of monitoring and surveillance program and ad-hoc reports as required
- Perform other duties and responsibilities as assigned.
EXPERIENCE REQUIRED:
- Experience in AML/Financial Crime Compliance within the financial services industry.
- Thorough understanding of the relevant KYC and AML requirements including JMLSG
- Detailed knowledge of the MiFID classification requirements
- Understanding of Market Abuse Regulations ideally
- Ability to research, interpret and translate regulatory rules and regulations into policy.
- Working knowledge of the UK FCA Handbook and other applicable regulations.
- Experience conducting trade surveillance reviews is preferable
- Knowledge of Financial markets and products.
For further information please contact Natalie Eshelby
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