Martis Search
AML/ KYC Client Onboarding & Remediation Associate: Investment Bank (City of London office of a global Investment Bank)
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The Role
AML/ KYC Client Onboarding & Remediation Analyst: Investment Bank (City of London office of a global Investment Bank)
Martis Search are representing a City of London based, boutique but global Cash Equity & Fixed Income focused company “sellside” Investment Bank to hire a permanent “AML/ KYC Client Onboarding & Remediation Analyst.”
The role is working within a small team, based on a trading-floor and supports their London based Equity and Fixed Income Sales and Trading teams. This is a very busy team, with high volume AML/ KYC Client Onboarding of Institutional clients such as global Investment Banks, Hedge Funds, Asset Managers etc. The position has arisen through growth and higher-volume of KYC Client Onboarding workloads that are affecting the team. The role also involves KYC Remediation of previous files.
Our client is looking for someone with a solid minimum of x 2-year’s AML/ KYC Client Onboarding experience gained from a reputable “sellside” Investment Bank, or Institutional Brokerage, ideally with a stable and less contract focused CV (as the company plan to offer a permanent contract in 2025, so want to see stability from someone’s work history).
There is a lot variety in the role, with some manual processes. Due to the small team, you will also be required to look at process improvements.
The company is 5-days per week in the office, with some potential flexibility to work-from-home after probation.
Our client is looking for someone who has relevant experience from a reputable Investment Bank, or Institutional Brokerage, with International markets experience.
In addition, our client will look at someone who is of graduate calibre and with a minimum of 2-years’ experience in AML/ KYC Client Onboarding experience.
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Position Description
This position is responsible for providing Client Onboarding/ KYC support to the Sales team. The position holder must have/ acquire through training, the knowledge to work within the internal guidelines/requirements and present regulatory environment to create and maintain the company’s client base.
AML/ KYC Client Onboarding & Remediation – Key Responsibilities
The successful candidate will be responsible for supporting the end-to-end client onboarding and ongoing review process, ensuring that client records and documentation are complete, accurate and maintained in accordance with internal procedures and regulatory requirements.
Client Onboarding & Account Opening
- Coordinate and collate all required documentation to support new client and account openings.
- Conduct client screening and due diligence checks to ensure adherence to relevant regulatory and compliance standards.
- Input, upload and maintain client documentation within internal systems, including GoldTier, and create and maintain appropriate client files.
- Maintain and update the internal Client Master List, ensuring information remains complete and accurate.
- Establish and maintain RCCA accounts, agreements and associated records.
- Create and maintain Introducing Broker (IB) agreements and all supporting documentation and records.
- Set up accounts under the firm's Asian Securities Programme and maintain the associated documentation and records.
- Liaise with third-party brokers to facilitate client onboarding across Frontier Markets, ensuring all necessary documentation and record-keeping requirements are satisfied.
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Ongoing Client Review & Data Maintenance
- Maintain client files on an ongoing basis, ensuring information is kept accurate, complete and up to date.
- Manage the appropriate retention, recording and destruction of client documentation in accordance with GDPR and internal data-management requirements.
- Undertake annual and periodic client file reviews, identifying and resolving any documentation or information gaps.
- Perform ongoing reconciliations between local office records and internal systems to ensure data consistency and accuracy.
- Ensure client and counterparty records remain compliant with internal policies and applicable regulatory requirements.
Stakeholder Support & Reporting
- Provide and disseminate client and account information through internal systems as required by Front Office, Compliance and Audit teams.
- Work closely with Front Office, Compliance and other internal stakeholders to resolve onboarding and client documentation queries.
- Respond to ad hoc queries and information requests from the firm's client base.
- Prepare and present relevant management information, statistics and client/counterparty data for monthly Client Counterparty Meetings.
- Support wider client onboarding, account maintenance and client lifecycle activities as required.
Competencies/ Skills/ Knowledge
- Efficiency, numeracy and accuracy
- Interpersonal skills
- Familiarity with computer systems
- Understanding of commercial/ regulatory environment
Salary
Between £55,000 k pa - £63,000 k pa, dependent upon experience, plus discretionary bonus, pension, healthcare and other related benefits.
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