Location: London, United Kingdom
Job Type: Contract, Full time
Assist with the Brexit Client Out Reach exercise including sending out documentation and tracking responses. Ensure that periodic reviews are fully and accurately completed on a pre-determined population of clients. Undertake various data refresh exercises to ensure consistency and integrity prior to setting up counterparties for the Europe entity. Assist the Head of Client Operations with Brexit-related projects as required
All employees are required to fully comply at all times with the Code of Conduct, and in particular the First Tier Individual Conduct Rules. As such employees must:
1. Act with integrity.
2. Act with due skill, care and intelligence.
3. Be open and co-operative with the FCA and PRA and other regulators.
4. Pay due regard to the interests of customers and treat them fairly.
5. Observe proper standards of market conduct.
For further information, please refer to the COCON Sourcebook of the FCA Rules and the Conduct Part of the PRA Rulebook.
Reporting of Breaches
You are required to report to Compliance any suspected or actual breaches of the Conduct Rules described above as soon as they are discovered.
In Respect of Training
The Company has appropriate training and competence procedures and training programmes in place across those business areas for which you are responsible to ensure that the Company’s employees:·
are and remain competent for the work they do;
are appropriately supervised and their competence regularly reviewed; and the level of competence is appropriate to the Company’s business.
You are responsible, in accordance with the Company’s training and competence policy for achieving and maintaining a sufficient level of competence for the role you undertake and for your own professional development in your relevant area of expertise.
Required Skills & Qualifications:
Ability to work under pressure and as part of a team
Willingness to work long hours as required
Flexibility to perform a variety of tasks
Good communications skills and client service orientation
Ability to work under own initiative
Previous KYC/AML experience in an investment bank across a variety of entity types and jurisdictions
Graduate level education or equivalent experience.
Computer literacy: excellent knowledge of MS Office (Word and Excel), Sharepoint and an understanding of relationship databases.
Knowledge of AML/KYC legislation and related regulations
To apply please email your CV to the following consultant:
020 3763 3912