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Compliance Associate
4 weeks ago
The role…
We are looking for an enthusiastic Compliance Associate to support the Compliance Team and the Head of Compliance and the Head of Regulation. The successful candidate will be responsible for ensuring compliance of the UKs Money Laundering Regulations (5MLD) and assist with the operation and development of AML/KYC function across the MTF and cryptocurrency trading platform. They will work directly with the managers of all business lines and feed directly into the development of the compliance controls and oversight function, to ensure the integrity of all products and onboarding processes for trading venue participants/members.
Tasks and responsibilities include, but are not limited to, the onboarding of clients through the AML/KYC process, undertaking Client Risk Assessments in line with internal policy, the development and monitoring of AML/KYC compliance processes, staying on top of new regulatory or industry guidance and subsequent internal implementation.
Key Accountabilities
- Promoting a culture of compliance across the business.
- Performance of AML/KYC & CDD/EDD checks.
- Identification and investigation of potential breaches of 5MLD, and drafting of clear and concise MI.
- Identification and implementation of applicable regulatory changes across the business.
- Own applicable policies and procedures, ensure they are up-to-date and take the lead in any changes necessary.
- Support and enhance the Archax KYC and Compliance Due Diligence function across both regulated and unregulated products.
- Assist in the continued maintenance, development, and enhancement of AML/KYC systems and policy/standards in line with regulatory requirements and best practice
- Feed financial crime investigations and assist the subsequent case management and reporting efforts
- Constantly review and enhance internal controls, including drafting and updating standard operating procedures
- Stay fully up to date with global KYC/DD standards, reporting back to the business to ensure management is kept aware of the latest developments and practices.
- Take ownership of the timely admission of regulatory reports, and where required assist the business with their preparation and compilation.
Technical Knowledge and Experience
- At least 5 years' relevant experience, preferably gained in a financial services or regulatory environment.
- Detailed knowledge of AML/KYC rules and processes and demonstrable CDD/EDD experience.
- Experience in handling CDD escalations and conducting appropriate due diligence screening.
- Good understanding of Wholesale Financial Markets including knowledge and understanding of applicable rules and regulations.
- Experience and/or eager interest in innovation and the crypto world.
- Experience navigating the FCA Handbook.
- Able to analyze and interpret information from a regulatory and commercial perspective.
- Experience in Financial Promotions and the applicable regulations is desirable.
Other required Skillset
- Ability and willingness to take ownership, responsibility, and accountability of projects
- Strong written and verbal communication skills
- Strong analytical skills including problem solving and solution-orientated thinking
- Able to use initiative, work unsupervised and comfortable taking responsibility
- Energetic personality with the drive to effect change and develop relationships across all levels of the business
- Degree or relevant industry qualifications - desirable
Reports KYC Development Support Performance Regulatory Requirements Environment Compilation Onboarding Oversight Accountability Financial Services Internal Controls Due Diligence Screening Analytical Skills Ownership Checks Investigation Trading Problem Solving Regulations Preparation Maintenance Communication Business Management
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