Compliance Analyst, New Business Team

at  Maples Group Legal Services

OVERVIEW

The Maples Group looks to add a Leeds based Compliance Analyst to our team and invites eager and qualified candidates to apply. We are committed to diversity, inclusion and equality of opportunity as we attract, retain and develop world-class talent.

The Compliance Analyst reports to the Senior Compliance Analyst and is responsible for conducting due diligence on new business matters. This includes attending to KYC related queries received from lawyers, clients and/or the Global Compliance Team, including monitoring requests in the KYC mailboxes, under the supervision and direction of the Senior Compliance Analyst. Primary responsibilities include:

• Address any KYC related queries received from lawyers, clients and/or the Global Compliance Team, including monitoring requests received in the KYC mailboxes
• Establish strong communication lines with lawyers and relevant staff in order to ensure that Know Your Customer ("KYC") requests are dealt with efficiently and professionally
• Review applicants for business and new clients in order to evaluate KYC requirements, understand the nature of business and identify any high risk areas
• Obtain appropriate KYC documentation for applicants for business and clients
• Ensure that Enhanced Due Diligence procedures are followed wherever high risk triggers are identified, escalating the matter to a SCA or the Compliance Office ("CO") as required
• Ensure that applicants for business, clients and related compliance parties are entered into InterAction and the internal KYC database as required and that KYC approvals are accurate
• Assist with InterAction administrative duties as may be required
• Review changes to client profiles that may require refreshed KYC and/or updates to the system (e.g. director, shareholder changes)
• Ensure that KYC documentation is approved and stored in accordance with internal policies
• Ensure that non-compliant clients are identified and reported to the SCA or CO, and that steps are taken to remediate outstanding KYC information in a timely manner
• Conduct KYC and refresher due diligence searches where necessary and report findings to the SCA or CO
• Comply with non-compliant/closed file procedures
• Assist the SCA and CO in investigating Bridger alerts and negative news findings and determine whether any matches could be considered positive results
• Complete other duties as may be reasonably requested from time to time by the SCA or CO