Purpose of the role:
Assist the AML and Client Service Teams in the delivery of an effective AML Onboarding & CDD Management Framework.
Responsibilities:
- To effectively and autonomously handle client onboarding relationships through the management of AML processes including due diligence on new and existing investors (CDD reviews), interpreting complex structures and assisting with Client reviews
- Be responsible for Executing background checks and searches/client profiling, carrying out ad-hoc World checks and Open Source searches as requested
- Be responsible for checking the daily screening alerts and any scrutiny hits referred to Compliance for mitigation and/or referral to CO/MLCO
- Manage failures and issues identified to resolution in conjunction with the Client Managers and to liaise with business teams with regards to resolving issues identified
- Preparation and review of MI and statistical analysis, board materials for client board meetings and where relevant, attending and presenting at Board meetings
Skills required:
- A minimum of 5 years’ AML, CDD and/or Compliance experience, ideally working in a funds environment
- Professional Compliance Qualification at Diploma level preferable, but not necessary subject to relevant experience
- Working knowledge of Microsoft Office packages and applications, particularly Outlook, Word, Excel and Access
- To be able to adapt to changes in business processes (including new and update software) and the changes in the regulatory environment