AML Compliance and Monitoring Specialist

3 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time

COMPANY OVERVIEW:

Compliance Professionals is a prominent entity in the securities sector, dedicated to maintaining the highest standards of compliance and regulatory adherence. We are currently seeking a Compliance AML and Monitoring Officer to enhance our compliance framework.

KEY RESPONSIBILITIES:

  • Oversee the client onboarding process, ensuring compliance with regulations for various entities including private corporations and funds.
  • Conduct thorough Customer Due Diligence (CDD) and Anti-Money Laundering (AML) assessments, including the acceptance process for Politically Exposed Persons (PEPs).
  • Perform AML and Sanctions verifications during the onboarding phase.
  • Monitor and address alerts generated by the AML/Sanctions system, escalating issues as necessary.
  • Execute Market Abuse Regulation (MAR) surveillance utilizing Liquid Metrix, reviewing alert configurations and testing parameters, including daily alert assessments.
  • Generate Best Execution and Transaction Cost Analysis (TCA) reports using Liquid Metrix.
  • Conduct compliance monitoring reviews as outlined in the Compliance Monitoring Plan.
  • Review monthly electronic communications and voice recordings for compliance.
  • Maintain and update departmental procedures related to compliance tasks.
  • Produce monthly Management Information reports concerning monitoring and surveillance activities, along with ad-hoc reporting as needed.
  • Carry out additional responsibilities as assigned.

QUALIFICATIONS:

  • Proven experience in AML and Financial Crime Compliance within the financial services sector.
  • Comprehensive understanding of KYC and AML regulations, including JMLSG guidelines.
  • In-depth knowledge of MiFID classification requirements.
  • Familiarity with Market Abuse Regulations is advantageous.
  • Ability to analyze, interpret, and convert regulatory guidelines into actionable policies.
  • Working knowledge of the UK FCA Handbook and relevant regulations.
  • Experience in conducting trade surveillance reviews is preferred.
  • Solid understanding of financial markets and associated products.

For further inquiries, please reach out to our recruitment team.

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