Anti Money Laundering Analyst

2 weeks ago

London, United Kingdom eFinancialCareers Full time

**Tradition is currently seeking to appoint an Anti Money Laundering Analyst on a fixed term contract basis to be based in London.**

**Main responsibilities within the Anti Money Laundering Analyst **position include**:

- Carrying out the on-going client review as per client on-boarding policy and procedures
- Carry out preliminary checks (type of activity, identification of the desk entertaining a relationship with the client, existing documentary evidence)
- Collating the documentary evidence which is publically available
- Contacting the client or broker and request the outstanding information
- Ensuring the UBO has been clearly identified and where appropriate the UBO exemption recorded adequately with the documentary evidence
- Ensuring the client risk is adequately recorded and where necessary with the appropriate approvals and rationale for downgrading a client risk
- Comply with the Enhanced due diligence policy and procedures and seek final approval of Senior Management for high risk clients
- Updating the client static data, including legal representatives and UBO’s
- Monitor, analyse, investigate, resolve and escalate where appropriatethe sanctions’ screening alerts
- Escalate as appropriate any discrepancies back to the first line of defence team or MLRO
- Communicate with head of desks / brokers in relation to off-boarding clients where necessary
- Submitting the completed clients to the second line client on-boarding team
- Maintaining and updating the client review log
- Providing MI on the status of the client reviews
- To act as an advisory and control function for the purpose of complying with regulatory and internal requirements to combat AML / CFT
- To work within and assist in the development of the second Line of Defence Client On-boarding Function within the Compliance Department.
- To work in collaboration with First Line of Defence Client on-boarding Team and any other relevant stakeholders
- Review and provide the second approval status of new clients submitted by the first line of defence client on-boarding team
- Communicate with any appropriate and relevant stakeholders
- Maintenance of data quality checks on client database
- Maintenance of the daily, monthly exception reports and act accordingly
- Maintaining and updating the client database (both on excel and cdc)
- Carry out other administrative tasks as and when required
- General Compliance Administration duties

**Key skills, experience and competencies required to be successful in this role**:

- Good Knowledge of Client On-boarding process
- Good knowledge of related processes such as the Know Your Customer (KYC) and the Anti-Money Laundering Regulations.
- Understanding of client regulatory & Tax classification - Mifid, FATCA, CRS
- Understanding of the EU / US / UK Sanctions regime
- Understanding of the Anti-Bribery requirements
- FCA knowledge - client classifications, conduct of business rules, training and competence, Approved Persons and FCA processes.
- Basic knowledge of the firms’ products including cash equities and securities, equity and commodity derivatives and money markets
- Experience of dealing with formal documentation
- Experience of international wholesale markets
- Knowledge of the UK anti money laundering rules and regulations
- Basic knowledge of tax requirements related to the identification and classification of clients under FATCA and Common Reporting Standards (CRS)
- Appreciation of Compliance Risk

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