Job Description

This role is within our Corporate Operations team, specialising in Know Your Client (KYC) as part of Anti Money Laundering. The KYC Operations function is specialist in, but not limited to, onboarding and customer risk assessments, generating MI reports, SLA and KPI execution, quality control and quality assurance execution. KYC Operations will also be responsible for Operational training design and delivery.

Deliverables

• Be responsible for sampling, analysis, and reporting for quality assurance.
• Perform Quality Control checks of KYC/AML files
• Thoroughly and succinctly document 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
• Carry out complex research/investigations to confirm whether the potential matches to global sanctions lists are actual matches according to policy and procedures.
• Ensure escalations for sanction/PEP screening, reviewing, and assessing the risk for escalations and ensuring that the appropriate course of action is taken.
• Maintain relevant databases and documentation and suggest controls to ensure we comply with regulations.
• Develops competence by performing structured work assignments; using existing procedures to solve routine or standard problems.
• Organises and attends internal meetings and supports in the preparation of responses to requests for information from regulators.
• Monitors and supports the preparation of risk dashboards, Key Risk Indicators and KPIs.
• Supports in the production of Member Articles.
• Monitors Compliance controls and supports Central Compliance where necessary
• Assists with fieldwork for Compliance assurance reviews, where necessary.
• Supports Senior Compliance Associates and day to day activities for the Group.
• May support wider work of the Financial Crime (FC) function including AML or sanctions reviews, executing FC policy queries with support as required and undertaking FC training in support of role (where applicable).
• Communicating professionally and confidently with stakeholders including colleagues and front office account managers as part of the onboarding, periodic review, trigger events and offboarding processes
• To support other team members with AML checks/referrals for escalation.
• Helping with the automation of the KYC process to enhance the client experience
• Work alongside the execution team and advisory to look at ways of improving the onboarding/KYC process.
• Maintain effective communication within the business to ensure material issues related to financial crime prevention are escalated as required.
• Be effective in finding data from several sources/systems.
• Maintain compliance of operational and regulatory risk.

Essential Experience

• Practical financial crime experience or transferable skills
• A good knowledge of AML legislation and requirements and an interest in 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 management industry
• Sound knowledge of AML Risk Based Approach concepts
• Sound knowledge of sanctions and politically exposed persons screening systems and transaction monitoring systems.
• Understanding of risk management principles.
• Analytical thinker and excellent attention to detail.
• Excellent communication skills in English, both verbal and written
• Good interpersonal, relationship building and written and verbal communication skills

Desirable Experience

• International Compliance Association Financial Crime qualification, or equivalent Professional qualification.
• Knowledge of fraud, bribery, and corruption laws also desirable.

• A bachelor's degree in law or business administration or country equivalent in a related discipline together with equivalent working experience. Alternatively, can show strong analytical skills from another discipline.

Skills

• Effective communication
• Attention to detail
• Computer literate
• Self-Motivated
• Adaptable
• Thrives under pressure
• Problem solving
• 3rd party relationship management

Core Competencies

• Client focused
• Process obsessed
• Integrity
• Driving Results
• Accountability
• Resilience
• Planning & Organising
• Decision Making
• Quality

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.

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