Executive, KYC Operations
This role is within our Corporate Operations team, specializing in Know Your Client (KYC) and Anti Money Laundering. The KYC Operations function is specialist in, but not limited to, onboarding and customer risk assessments generating MI reports, SLA and critical metric execution, quality control and quality assurance execution. KYC Operations will also be responsible for Operational training design and delivery.
This is a hybrid working role which offers a flexible working style of 3-days in office and 2-days at home.
Roles and Responsibilities
• Follows procedures to ensure alerts are responded to in a timely manner (focus is on alerts in a single area).
• Raising unresolved queries to the next level of support and ensures accurate recording, documentation, and
closure of alerts.
• Perform data gathering and analysis for new client onboarding, periodic reviews, for all new clients.
• Review all trigger events related to existing clients, where required gather additional supporting documentation.
• Thoroughly and succinctly detail the research and analysis related to the financial activity and related entities of
Clients, for an audience that includes Management, Regulators, Legal and Internal Compliance.
• Undertake AML and sanction/PEP screening, on-boarding due diligence checks and ongoing monitoring
ensuring that consistent processes are followed in line with global strategy and requirements.
• Ensure sanction/PEP screening are conducted and accurate course of action is taken.
• Carry out complex research/investigations to confirm whether the potential matches to global sanctions lists are
actual matches according to laid down guidelines.
• Maintain databases and documentation and suggest controls to ensure we align with regulations.
• Presenting to partners including colleagues and front office account managers as part of the onboarding,
periodic review, trigger events and offboarding processes.
• Support team members with AML checks.
• Maintain communications within the business to ensure material issues related to financial crime prevention are
raised as required.
• Perform Quality Control checks of KYC/AML files.
Preferred Skills and Experience
• A bachelor’s degree in law or business administration in a related field together with equivalent working
• Minimum 2 or more years of experience in KYC/AML.
• Be effective in finding data from a number of sources/systems and accurately transfer Maintain personal
compliance of operational and regulatory risk.
• Practical financial crime experience or transferable skill.
• A curiosity about financial crime matters.
• A good level of awareness of legal corporate entities and corporate group structures.
• Financial Crime investigation, prevention and/or detection work preferably in the financial services or asset
• Perception of AML Risk Based Approach concepts.
• Sound knowledge of sanctions and politically exposed persons screening systems and transaction monitoring
At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise of creating essential partnerships and open opportunities. Our open culture is central to how we deliver our purpose – driving financial stability, empowering economies and enabling customers to create sustainable growth – in everything we do.
Working with us means that you will be part of a dynamic organisation of 25,000 people across 70 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone’s race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.
Please take a moment to read this privacy notice carefully, as it describes what personal information London Stock Exchange Group (LSEG) (we) may hold about you, what it’s used for, and how it’s obtained, your rights and how to contact us as a data subject.
If you are submitting as a Recruitment Agency Partner, it is essential and your responsibility to ensure that candidates applying to LSEG are aware of this privacy notice.
- Offered SalaryNot Specified
- Career LevelNon-Executive
- Experience2 Years
- INDUSTRYComputer and technology
- QualificationBachelor's Degree
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