Financial Institution Group (FIG) Compliance Operations Executive in City of Westminster

As a FIG Compliance Operations Executive you will assist with compliance onboarding duties including preliminary account checks and customer liaison related to documentation requests for Financial Institution Group (FIG) customers. You will ensure desk account reviews and transaction monitoring alerts are completed in a timely manner as part of ongoing due diligence. You will conduct correspondent bank and customer questionnaires within the expected timeframe and escalate for management review promptly. Additionally, you will address any request for due diligence documents from prospects and existing customers, and handle other compliance day‑to‑day queries while screening and monitoring.

Key Responsibilities

• Run preliminary checks on prospective customers, using provided compliance tools and open source resources to identify ownership and management of customers, conducting adverse media, PEP & sanctions checks in line with procedures.
• Ensure CDD documents received are in line with requirements as per procedures.
• Follow the robust processes in place to review new customer onboarding applications, ensuring all procedures are adhered to and recorded in CRM.
• Conduct full account reviews on prospects and existing customers as per the CDD/KYC account review procedures and in line with the ongoing refresh cycle.
• Ensure legal attestations documentation are in place as per conditions of trading in line with second‑line approvals.
• Manage and maintain a log for outstanding attestations, promptly report and escalate missing attestations to senior management.
• Act as a liaison to respond and provide external requests for documentation, including compliance questionnaires and other Moneycorp CDD documentation required for establishing and maintaining commercial relationships.
• Manage and follow up on outstanding documentation for prospective customers and existing FIG customers and counterparties.
• Manage daily ongoing sanctions/PEP/adverse media screening.
• Perform first‑line transaction monitoring alerts in proprietary monitoring platform.
• Process any changes to customer profile, including changes to delivery location, standard settlement instructions, adding or removing users, signatories, directors, or ownership in line with procedures.
• Ensure all appropriate escalations are made to second‑line FIG Compliance function.

Reports and Monitoring

• Provide management with statistical information regarding CDD status and remediation projects in a clear and concise manner.
• Maintain, manage and report on account opening progress statistics.
• Monitor the exceptions log in relation to customers onboarded.
• Keep abreast of the prospective customer pipeline and proactively manage workload.
• Assist with any other ad‑hoc duties/emails as and when required.

Skills, Qualifications and Experience

• Understanding of global AML rules and best practices. Keeps up to date with the market.
• Able to build effective professional relationships.
• Effective report writing at an executive level.
• Able to work under pressure.
• Highly organized.
• IT proficient.
• Clear communicator.
• Attention to detail.

Please note: This is a full‑time, permanent position with an opportunity to work in our London office.

What you get in return

This role offers a competitive salary, a structured commission plan, and a benefits package including private medical health insurance.

Fostering a culture of belonging and inclusivity

We’re committed to creating a workplace where every individual feels valued, respected, and included. As an Equal Opportunity Employer, we actively cultivate an inclusive culture where diversity thrives, and we empower our colleagues to drive meaningful change through Employee Engagement initiatives and value champion networks. Like many of our peers, we recognize that fostering inclusivity is an ongoing journey, and we remain steadfast in our commitment to progress. By measuring our efforts through regular assessments and listening to employee feedback, we strive to ensure that our initiatives are impactful and responsive to evolving needs. Together, we want to build a workplace where everyone can bring their authentic selves, as we believe this is the foundation of innovation, creativity, and collective success.