Key Responsibilities:

• Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;
• Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business;
• Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance;
• Collaborate with different company departments to monitor enforcement of standards and regulations;
• Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate;
• Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client;
• Communicate efficiently with the respective client and/or broker to gather all necessary information;
• Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries;
• Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies;
• Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats;
• Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding;
• Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm’s AML & KYC requirements are met;
• Identify, review and disposition of all PEP’s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;
• Classify clients from a risk and regulatory perspective;
• Investigate and escalate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the business;
• Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding;
• Review onboarding accounts as required;
• Effectively manage KYC inbox; ensuring all emails are responded to;
• Ensure that all queries are answered promptly and in full;
• Ensure that all processes are followed, and trackers are updated accurately;
• Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register;
• Work on special projects and assists with ad hoc projects as required;
• Monitor any material changes that may impact the risk status of client files;
• Perform any other reasonable duties the company may require

• Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;
• Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business;
• Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance;
• Collaborate with different company departments to monitor enforcement of standards and regulations;
• Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate;
• Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client;
• Communicate efficiently with the respective client and/or broker to gather all necessary information;
• Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries;
• Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies;
• Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats;
• Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding;
• Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm’s AML & KYC requirements are met;
• Identify, review and disposition of all PEP’s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;
• Classify clients from a risk and regulatory perspective;
• Investigate and escalate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the business;
• Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding;
• Review onboarding accounts as required;
• Effectively manage KYC inbox; ensuring all emails are responded to;
• Ensure that all queries are answered promptly and in full;
• Ensure that all processes are followed, and trackers are updated accurately;
• Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register;
• Work on special projects and assists with ad hoc projects as required;
• Monitor any material changes that may impact the risk status of client files;
• Perform any other reasonable duties the company may requir