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KYC & AML Executive

Information About This Job

Job Title: KYC & AML Executive
Location: London
Industry:
Salary: £50,000 - £55,000
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: 10 months ago

Job Description

A global wealth and asset management firm, based in London is seeking to appoint a KYC & AML Executive.

 

About The Role

To review legislation, regulatory requirements and guidance to ensure the Company’s KYC & AML procedures are consistent and compliant with regulations applicable to the company’s business.

  • To monitor and review accounts of clients identified as high risk or PEPs.

  • To provide  KYC & AML  approval for higher risk clients.

  • To provide consultancy services on KYC & AML matters to the various Sales Teams

  • To monitor adherence to the approved KYC & AML procedures

 

Key Responsibilities

  • Responsible for advising on the policies and procedures that the Company should follow in relation to the collection and maintenance of client KYC & AML documentation, including PEPs / Sanctioned countries / Risk assessment etc.

  • Maintaining a working knowledge of the various facets of the products offered by the Company and how they can be utilised and asses the risk

  • Analysis and validation of the KYC & AML information provided by new clients in light of the relevant regulatory and custodian guidelines

  • Identifying where remediation is required for existing client records in relation to KYC & AML and managing the process.

  • Liaising with and being the KYC point of contact for the  custodians and third party providers in relation to the KYC & AML requirements

  • Periodical review of Risk Assessment documents produced for new and existing clients, including MiFID client categorisation.

  • To act as a Subject Matter Expert providing consultation both internally and externally on KYC & AML matters for international structures utilised by clients.

  • Ongoing review of potential automation of KYC services to streamline the client on boarding & remediation processes.

 

Skills & Experience

  • Financial / Professional qualification desirable.

  • Good time / project management skills.

  • Subject Matter Expert with significant experience with KYC and AML regulation and practices

  • Experience with international estate planning vehicles

  • Good interpersonal skills and able to work under pressure

  • Personable, with good written and oral communication skills.

  • Excellent computer skills including– Outlook, Word, Excel, PowerPoint, Visio and Intelligent Office .

 

Additional Information
Internal Contacts

  • Regular liaison with third party product providers – for example, custodians, platforms, insurance wrappers etc

  • Occasional direct communication with Client

External Contacts

  • Constant daily contact with all Sales and New Business teams

  • ·Occasional contact with Operations / Trade Support / Finance Team etc

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