Role Summary and Department Overview:
The Operations Department is one of the key support functions of the business. It is comprised of five smaller departments, each specialising in different elements of the post trade environment. Each newly created team are responsible for Settlements, Corporate Actions, IB Support, Client Lifecycle and Operational Control.
Role Responsibilities:
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Working as part of a Client Lifecycle team.
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Complete Onboarding and Periodic Review in a timely manner with high level of quality
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Complete KYC (CDD, EDD, PEP etc) on various client types such as private, SPV, trust, charity etc and be able to apply risk-based approach
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Understand AML, CTF, JMLSG and other relevant law, regulations and policies, as well as MiFID II, FATCA/CRS
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Understand the sanctions and adverse media about the client and elevate as necessary
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Work with internal departments (Execution & Trading, Investment Banking, Research, Compliance, Legal) to ensure the best client experiences for onboarding and KYC refreshes
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Communicate with clients professionally and effectively
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Complete account opening, set up SSIs, and manage the account closure throughout the lifecycle of the client
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Support Client Lifecycle Manager in various tasks and admins
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Escalate any issues immediately
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Proactivelylookforimprovementsaroundprocess,controlandefficiencies
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Have an understanding of the regulatory environment, and values and abilities consistent with the FCA conduct rules.
Key Capabilities and Knowledge:
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A minimum of 2 years working as a Client Onboarding/KYC Analyst in a similar environment.
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Knowledge of relevant regulation, AML and JMLSG rules and guidance.
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Experience with conducting due diligence on retail individuals and professional & ECPs.
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Be able to understand complex company structures; Hedge Funds, Trusts and Asset Managers.
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Excellent written and verbal communication skills.
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Able to act independently on own initiative.
Role Competencies:
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Technical Expertise
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Detail Orientated
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Problem Solving
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Analytical
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Teamwork
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Stakeholder Focus
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Client Lifecycle Analyst (12-month FTC) employer: Peel Hunt LLP
Peel Hunt is an exceptional employer that prioritises the long-term success of its employees and clients alike, fostering a collaborative and supportive work culture. With a strong focus on professional development, employees in the Asset Servicing Analyst role can expect ample opportunities for growth and skill enhancement within a dynamic investment banking environment located in the heart of the UK capital markets. The company’s commitment to excellence and innovation ensures that team members are not only valued but also empowered to contribute meaningfully to the organisation's success.
