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CDD Analyst

Employer
LMA
Location
London, United Kingdom
Salary
Negotiable
Closing date
Jun 23, 2023

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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Main Responsibilities & Accountabilities :
Responsibilities :
  • Day to day duties will include conducting Client Due Diligence (CDD) at both on-boarding and on-going review stages under the guidance of QC/Head ofCDD. This will involve completion of:
    • Know Your Customer (KYC) checks; o Conducting sanction screenings;
    • Conducting Politically Exposed Persons (PEP) assessments;
    • Conducting adverse media screening to identify if client has any material / immaterial adverse information found;
    • Completing the relevant checklists and forms.
  • Working alongside Relationship managers / Compliance Department, compile and complete KYC pack for both on boarding and on-going clients.
  • Working on various entity types such as, Trust, Foundations, LLPs, LLC, Funds / Hedge Funds, Charities, SPV/SPE and complex ownership structures.
  • Ensure detailed and accurate audit trails are maintained in all cases starting from the initial KYC to full completion.
  • Ensure customer details and accounts are set up on all applicable systems and spreadsheets once KYC has been completed.
  • Carrying out MiFID classifications on new, on-going and remediation clients in accordance with the product and client type.
  • Ensure the AEoI information is accurately recorded and that appropriate rationales are applied to KYC packs and customer accounts.
  • Timely execution of instructions received from Head of CDD
  • Communicating the status to relevant internal and external parties.
  • Following up with clients in a timely, effective and professional manner.
  • Additional duties may include businesses requirements as asked by Head of CDD from time to time.

Accountabilities :
  • Conducting CDD at Client on-boarding, on-going and remediation review stages; depending on the workload and priority order.
  • Excellent stakeholder management.
  • Managing and maintaining the quality of work.
  • Managing and maintaining the productivity of work. • Professional conduct and co-operation.

Skills Required:
  • Proficient in Microsoft Word, Excel, Power Point and Adobe; • Excellent communication skills and problem solving abilities;
  • Highly organized individual with great attention to detail;
  • A decisive individual with analytical skills who is energetic and results driven;
  • Demonstrated ability to prioritize workload and ability to manage multiple tasks while meeting deadlines;
  • Strong interpersonal & cross-border stakeholder skills and the ability to work under pressure.
  • Good typing and numeric key entry skills.

Experience Required:
  • Minimum of 4 years' experience in performing aKYC /KYB Checks within theCDD function; and should have at least 3 years of experience in each of the following:
    • Conducting Adverse and Sanctions screening;
    • Conducting due diligence on entity types such as, Funds, SPVs, Trusts, Foundations, Charities and LLPs; and o Conducting PEP classification.
  • Proven experience in On-boarding SPV's, Funds, Charities, Foundation, SWF, State Owned and Supranational Entities, Trade Finance and Correspondent Banking;
  • An understanding of organisational structures and experience of the breadth of AML requirements for a range of corporate and FI entities both in the UK and overseas is essential; and

CDD/KYC/Financial Crime Prevention related certification preferred.
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