Compliance Admin - Capital Markets - City

40000.00 - 40000.00 GBP Annual + GBP40000/annum
10 Jul 2017
20 Jul 2017
Contract Type
Full Time
Role Compliance Admin
Salary GBP40000
Location City


My Client a financial services company in the City are looking for a compliance administrator to join their busy team. The successful candidate will have a minimum of 3 years experience in compliance.


- Screening of customers and any related parties using KYC screening tools
- Assess and review the screening alerts generated to determine if the alerts are either False Positive or a Potential Match (escalating where required).
- Complete accurate KYC profiles in a timely manner for new / existing customers using internal KYC systems.
- Apply the Client On-Boarding policies and procedures to obtain and analyse the necessary documents for each client type.
- Update the KYC Tracker to ensure statistics are correct at all times.
- Review publicly available sources of information to develop a thorough understanding of the client`s activities and the nature of the proposed business relationship and work with the First line to source additional documentation if sufficient information is not publicly available.
- Carry out risk based client reviews and reporting according to compliance policies and procedures.
- Representing the Compliance Department on business initiatives and ad hoc projects as required.
- A hands on approach and willingness to get involved in project work.
- Responsible for ensuring compliance information on Viewpoint is up to date.
- Assist Management and staff members to understand their regulatory requirements, and liaise with the Head of Compliance where required.
- Collaborate with the Head of Compliance to implement and maintain financial crime, sanctions and terrorist financing policies and procedures, monitor their adequacy and deliver training to the wider business where applicable.
- Assist the Head of Compliance to perform compliance monitoring programmes.
- Be approachable when providing assistance to the team and where appropriate escalate to the Head of Compliance.
- Assisting the Head of Compliance in production of quarterly compliance reports where required.


- Proven excellent interpersonal and people management skills.
- Good understanding of the range of fiduciary products offered in the Funds, Capital Markets and Corporate service lines.
- Demonstrated effective communicator and relationship management skills.
- At least 3 years` experience working within a compliance function.
- Good time management and ability to work under pressure.
- Degree educated and holding, working towards or willing to work towards, a relevant compliance-related qualification.

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