A prestigious Wealth Management company are looking for a KYC and Business Assurance Specialist to oversee the onboarding process to ensure that the business is adhering to relevant policies, procedures and regulatory requirements. This is a hybrid role that will work with both Front Office teams as well as the KYC and onboarding functions.
This role sits within the First Line of Defence function focusing on Business Controls and Relationship Management. Specifically your responsibilities will include:
- Monitoring trade documentation and ensuring that pre and post trade documentation are in line with regulatory suitability
- Investigating any potential risks associated with new and existing clients
- Running in depth reviews of client documentation and AML documentation
- Being a link between the Front Office and KYC/Onboarding functions
- Strong knowledge of KYC, Suitability and AML/Source of Wealth
- Experience in an Investment Management company is required
- Knowledge of UK regulations
- Holds Investment Related Level 4 qualification
- Strong communication and organisational skills
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Drake at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Regulatory Compliance, Operational Risk & Financial Crime Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.