Optiva Securities
Compliance Analyst
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Company Description
Optiva Securities is a specialist broker dedicated to supporting high-growth small cap companies in achieving their corporate objectives. The firm manages investment portfolios for high net worth clients, aiming to outperform standard benchmark indices through a focus on growth-oriented businesses. The company emphasizes a personal, client-centered approach, tailoring strategies to individual needs while maintaining a dynamic and performance-driven culture.
Job Description
Support the end-to-end AML and KYC onboarding process, including client due diligence, verification of documentation, screening and ongoing monitoring, while maintaining accurate records and assisting with broader compliance requirements where needed.
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Key responsibilities
- CDD/KYC for individuals/entities; assess UBOs, SoF/SoW; SmartSearch a plus.
- Sanctions/PEP/adverse media screening; investigate and escalate to MLRO.
- Risk assessments, EDD, periodic/trigger reviews; maintain files, logs, MI.
- Compliance monitoring: testing, reporting, tracking actions; Consumer Duty MI.
- Employee compliance (PA dealing, gifts, conflicts, OBIs, attestations); maintain registers and SM&CR records.
- Assist regulatory returns/requests; help update policies/procedures/training.
Essential
- 2–3 years AML/KYC/onboarding or compliance in FCA-regulated (or similar) environment.
- Hands-on CDD/KYC incl. EDD, SoF/SoW; screening (sanctions/PEP/adverse media).
- Applicants must have the legal right to work in the UK and be able to provide appropriate evidence of their eligibility.
- Educated to degree level or equivalent.
- Relevant AML / financial crime qualification.
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Desirable
- Experience within an investment firm, stockbroker, corporate broker, wealth manager, asset manager or capital markets business.
- Experience of compliance monitoring or file-review testing.
- Familiarity with the FCA Handbook, including the Principles for Businesses, SYSC, COBS and Consumer Duty requirements.
- Knowledge of the Senior Managers and Certification Regime.
If interested in the role, please submit your CV to jobs@optivasecurities.com. Applications will close on the 23rd of September.
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