Business Compliance Analyst, Client Onboarding
Location: London, United Kingdom
Department: Capital Markets
Work arrangement: Permanent, Full Time, Hybrid
Hours: 37.5 hours per week
About the role:
The Capital Markets Business Compliance Analyst is responsible for assisting with the client onboarding of capital markets deals in conjunction with other teams at CSC. The Business Compliance Analyst will liaise closely with other transaction parties during the setup of the transaction and manage the setup of the transaction file. They will be responsible for working with the clients to collate all correct KYC information, working with Group Compliance to ensure it is input into relevant databases and all necessary approvals received prior to the deal closing.
The Business Compliance Analyst will also be responsible for static data management and for managing and completing (according to specified timeframes) all annual KYC refreshes, while working closely with our colleagues in other locations.
Main responsibilities:
- Serve as the primary point of contact for clients to request, collect, and review all required KYC documentation during onboarding and subsequent periodic reviews.
- Work with Group Compliance to ensure correct KYC information is received and present the deal (if required) to the Business Acceptance Committee for approval.
- Work with the wider capital markets / CSC team to manage deal onboarding.
- Review and analyse client ownership structures and perform ultimate beneficial ownership (UBO) and risk assessments.
- Conduct PEP, sanctions, and general compliance screenings, and analyse the results. Manage static data changes in line with standard operating procedures;
- Review and approve due execution of relevant transaction documents in line with standard operating procedures;
- Deal with ad hoc simple transaction enquiries and/or relevant correspondence.
Requirements:
- Understanding of different entity structures (e.g. Ltd, PLC, Partnerships, Trusts, Charities etc.) is desirable.
- A legal background, or prior experience in compliance or client onboarding, is considered beneficial.
- Experience of finance-related work is beneficial.
- Familiarity with KYC requirements for clients’ identification and verification.
- Ability to adhere to and apply compliance policies and procedures.
- Understanding and knowledge of traditional money laundering and terrorist financing typologies.
- An excellent level of communication skills, both oral and written, and a high level of interpersonal skills.
- The ability to balance competing priorities and meet deadlines within the context of a demanding workload.
- The ability to work independently, and to work effectively as part of a team, both within the capital markets team and in a multi-disciplinary setting.
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