Overview:
A leading global investment bank specialises in mergers and acquisitions, capital markets, financial restructuring, and A prominent global investment bank focuses on mergers and acquisitions, capital markets, financial restructuring, and financial and valuation advisory. With a presence across the Americas, Europe, the Middle East, and the Asia-Pacific region, the firm serves a diverse range of clients, including corporations, institutions, and governments. The firm is known for its independent advice and intellectual rigor, which are central to its commitment to client success.
Role:
The firm is seeking a Compliance Analyst to support various regulatory aspects of its international operations. This role is part of the Legal and Compliance team based in London and involves collaboration with local legal and compliance advisors. The primary focus will be on assisting with and ensuring adherence to the firm's KYC/AML requirements. Additionally, the role involves developing a robust control framework covering a wide range of activities, including compliance monitoring and reporting, compliance with KYC/AML requirements, ongoing monitoring and reporting, and active involvement in systems initiatives and other projects.
Responsibilities:
- Know Your Customer (KYC): Assist deal teams across the firm's business units with the KYC process, including preparation and review, ongoing monitoring, and participation in a project to semi-automate the KYC process.
- Control Framework: Develop and maintain robust and consistent procedures and controls for the firm's business activities and regulatory programs.
- Compliance Reporting: Produce periodic compliance, board, and other reports for senior management.
- Compliance Documentation: Maintain KYC records, relevant sections of Compliance Manuals, Codes of Ethics, AML and financial crime policies, and other policies as required. Recommend and draft updates/revisions as necessary.
- Training: Assist with the development and roll out of training programs.
- Systems Initiatives and Projects: Assist with various systems initiatives and other projects as necessary.
- Regulatory Knowledge: Maintain a competent level of expertise and knowledge of the requirements of the FCA in the UK and other local regulators across international jurisdictions, with the assistance of local legal and compliance advisors.
Basic Qualifications:
- Relevant experience in investment banking compliance or regulatory roles.
- Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity.
- Excellent verbal and written communication skills, with the ability to present ideas and information clearly, logically, and succinctly.
- A proactive, hands-on, and collaborative attitude is essential, with a readiness to take responsibility and be held accountable.
- Attention to detail and excellent organisational skills, with the ability to manage multiple priorities simultaneously.
- Ability to handle multiple tasks and work to tight deadlines/under pressure with limited supervision.
- Proficiency in Microsoft Office, including Excel, Word, and PowerPoint.
