KYC analyst

2 days ago

London, UK, United Kingdom CER Financial Full time

KYC Analyst (Structured Finance)

To assist and provide support to Structured Finance (Relationship Manager) in all day-to-day activities and tasks related to KYC whilst ensuring that all legal and regulatory obligations are satisfied with the focus on minimising the risk of Money Laundering in accordance with guidelines issued by the Financial Regulator, external associations and branch and group policies and procedures.

To ensure all new and existing business is satisfactorily approved and signed off within the specified reporting periods.

Key Duties and Responsibilities:

(Bullet points of primary responsibilities/accountabilities and how these are achieved – e.g., Prepare financial analyses for contract negations and investment decisions. Manage team and undertake regular one to one and annual performance reviews)

• Contribute to the identification of regulatory AML risks or gaps and discuss proposals to mitigate these risks.

• Provide KYC related advice and support to team members

• Maintain and manage the client KYC database

• Identify and escalate any AML concerns to the MLRO.

• Proactively problem-solve, identify mitigate any risks, issues, or control weaknesses arising in day-to-day operations

• Track issues and actions escalated

Carry out the complete KYC process for new Structured Finance customers by applying the appropriate level of customer due diligence as defined by the Banks risk rating and risk appetite.

- Analysis of ownership/shareholder structures based on Structure Chart(s)

- Defining KYC document requirements based on ownership structures

- Establish an effective communication channel with the client to request and monitor KYC documents.

- Validate KYC documents supplied by the clients /Agent Bank

- Source and obtain the required corporate documents via accessible registers

- Raise any concerns or red flags with team head in the first instance and escalate to Compliance in line with KYC procedure.

- Provide regular updates to the deal team and the team head on the status.

- Complete all KYC control documents (Onboarding form, CRR tool, etc.) and submit complete and signed to Compliance ahead of financial close.

- Ensure data quality in all systems

- Liaise with Compliance department to ensure relevant approvals have been granted.

- Track and monitor successful conclusion of any agreed CS’s / CP’s within specified timeframe.

KYC Reviews (as defined by the Risk Rating)

- Identify which customers are due for reviews

- Ensure that all KYC periodic reviews are completed and satisfactorily signed off by Compliance by the specified due date.

- Request and validate any structural / director / authorised signature / UBO/OBO changes

- Ensure data quality in all ystems

- Source the required KYC and corporate documents via accessible registers

- Action alerts from Companies House in a timely manner

- Complete all KYC periodic review documents (KYC review form, CRR tool, etc.) and submit complete and o Compliance ahead of due date.

- Liaise with Compliance department to ensure relevant approvals have been granted.

- Track and monitor successful conclusion of any agreed CS’s / CP’s within specified timeframe.

- Provide requested documents to internal/external auditors in a timely manner.

- Create, maintain and update local procedures.

Key Skills and Experience required:

(Bullet points of key skills/experience – e.g. Previous Management experience, or excellent excel and data manipulation skills)

• Minimum of 5 years experience of conducting in depth investigations and dealing with adverse media screening, sanctions screening on PEP’s, high risk individuals etc.

• Experience managing a team

• Sound knowledge and experience of KYC/ CDD processes for individuals, corporations, trust/ corporate structures and high risk individuals.

• Managerial level communication and presentation skills

• ICA or equivalent qualification or suitable industry experience in AML/ Financial Crime

• Intermediate to advanced knowledge of Microsoft Excel, including proficiency in data analysis using formulae and pivot tables"

• Effective time management & outstanding workplace organisation

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