Role Title – Senior Analyst, KYC Operations
Years of Experience – 4 years+
Location – Colombo
Overview of the team
This role is within our Corporate Operations team, specializing in Know Your Client (KYC) as part of Anti Money Laundering.
The KYC Operations function is specialist in, but not limited to, onboarding and customer risk assessments, generating MI reports, SLA and KPI execution, quality control and quality assurance execution. KYC Operations will also be responsible for Operational training design and delivery.
Role Purpose
The AML KYC and Screening Analyst will be responsible for performing detailed data gathering and analysis for new client onboarding and periodic reviews to complete KYC checks and Customer Due Diligence. Perform initial and ongoing screening and review, risk assess and report any positive/ possible alert matches in line with the specified timeframes
Deliverables
- Perform data gathering and analysis for new client onboarding, periodic reviews, for all new clients
- Review all trigger events related to existing clients, where required gather additional supporting documentation
- Thoroughly and succinctly document the research and analysis related to the financial activity and related entities of Clients, for an audience that includes Management, Regulators, Legal and Internal Compliance
- Undertake AML and sanction/PEP screening, on-boarding due diligence checks and ongoing monitoring ensuring that consistent processes are followed in line with global strategy and requirements
- Carry out complex research/investigations to confirm whether the potential matches to global sanctions lists are actual matches according to policy and procedures.
- Ensure escalations for sanction/PEP screening, reviewing and assessing the risk for escalations and ensuring that the appropriate course of action is taken.
- Maintain relevant databases and documentation and suggest controls to ensure we comply with regulations.
- Communicating professionally and confidently with stakeholders including colleagues and front office account managers as part of the onboarding, periodic review, trigger events and offboarding processes
- To support other team members with AML checks/referrals for escalation.
- Maintain effective communication within the business to ensure material issues related to financial crime prevention are escalated as required.
- Be effective in finding data from a number of sources/systems and accurately transfer Maintain personal compliance of operational and regulatory risk.
- Perform Quality Control checks of KYC/AML files
Essential Experience
- Minimum 5 or more years of experience in KYC/AML
- Practical financial crime experience or transferable skills
- A good knowledge of AML legislation and requirements and an interest in financial crime matters
- A good level of awareness of legal corporate entities and corporate group structures.
- Financial Crime investigation, prevention and/or detection work preferably in the financial services or asset management industry
- Sound knowledge of AML Risk Based Approach concepts
- Sound knowledge of sanctions and politically exposed persons screening systems and transaction monitoring systems.
- Understanding of risk management principles.
- Analytical thinker and excellent attention to detail.
- Excellent communication skills in English, both verbal and written
- Good interpersonal, relationship building and written and verbal communication skills
Desirable Experience
- International Compliance Association Financial Crime qualification, or equivalent Professional qualification
- Knowledge of fraud, bribery and corruption laws also desirable.
- Experience in Capital Markets
- A bachelor’s degree in law or business administration or country equivalent in a related discipline together with equivalent working experience. Alternatively, can show strong analytical skills from another discipline.
Skills
- Effective communication
- Attention to detail
- Computer literate
- Self-Motivated
- Adaptable
- Thrives under pressure
- Problem solving
- 3rd party relationship management
Core Competencies
- Client focused
- Process obsessed
- Integrity
- Driving Results
- Accountability
- Resilience
- Planning & Organizing
- Decision Making
- Quality
At LSEG, we believe that creating a diverse and inclusive organisation is fundamental to the way we deliver on our promise – and our purpose. You’ll be part of an organisation of over 25,000 people, spanning 70 countries. We recognise the individual perspectives each of our colleagues brings, and our diverse workforce is one of our greatest strengths. In supporting collaboration and creativity and encouraging new ideas across a diverse and inclusive workforce, we can improve how we are driving financial stability, empowering economies and enabling customers to create sustainable growth.
LSEG offers a range of tailored benefits and support from healthcare and retirement planning to paid volunteering days and wellbeing initiatives.
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