The Role:

You will be responsible for supporting the Financial Crime Manager/Deputy MLRO (and ultimately the Head of Financial Crime & MLRO) with implementing and embedding financial crime systems and controls, carrying out themed review of controls including project managing financial crime control changes. Responsible for ensuring that the company complies with the Financial Services and Markets Act 2000, and specifically with the Money Laundering Regulations 2017, the FCA Handbook and JMLSG guidelines together with Company policy, when establishing new customer relationships; together with ongoing monitoring and reviews.

Duties (Not Exhaustive):

  • Reviewing the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB), source of wealth and funds, identifying and verifying ultimate beneficial owners, client information, client profiling and suitability during the account opening process.
  • Providing the business with advice and guidance on all relevant regulatory/AML obligations and requirements
  • Working with the business to ensure that the firm establishes and maintains appropriate financial crime policies, procedures, systems and controls and promoting financial crime awareness across the business
  • Monitoring all aspects of the business to identify actual or potential weaknesses of internal controls and advising on remedial action that may be taken by line management
  • To undertake project work and management to assess the firms' financial crime regulatory exposure and make recommendations to the business to ensure compliance
  • Support the Financial Crime Manager/Deputy MLRO in implementing change and adhering to company policy and risk tolerances.
  • Applying customer risk assessment to new clients (individuals and corporates) and ensuring the appropriate level of due diligence is applied at client on boarding
  • Complete Periodic and Event Driven (Trigger Reviews) Reviews of existing Clients
  • Conduct customer screening (Sanction, PEPS and adverse media) level 1 investigations and escalate any potential matches to the FC Manager/Deputy MLRO or MLRO as appropriate
  • Undertake new clients assessment of Client MiFID II classifications
  • Prepare and distribute client on boarding documentation and account opening forms to account executives

Skill Set / Background:

  • Minimum of 2 years' experience as a CDD/KYC or AML analyst in the regulated sector
  • Ability to work effectively alone or as part of a team
  • Flexible and adaptable approach to work
  • Pragmatic approach to decision making and delegation
  • Target driven and ability to work well under pressure
  • Knowledge of the 2017 Money Laundering Regulations, 4th EU Money Laundering Directive, FCA Best practice and industry standards in relation to financial crime
  • Experience of working to tight deadlines for remediation and other financial crime projects
  • Experience of conducting EDD on high risk clients and on-going monitoring
  • Preferably experience in Transaction Monitoring


  • ICA AML Certificate or equivalent qualification
  • Experience in the commodities or capital markets industry