Senior Officer, Operational Compliance Services (Wholesale Banking)

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities.

Job Description

A review position responsible for ensuring quality and accuracy of AML/KYC and FATCA deliverables across all complexity levels. This role reviews compliance documentation, validates risk assessments, and provides technical input while ensuring adherence to regulatory standards.

Core Responsibilities

• Review AML/KYC deliverables
• Validate risk assessments
• Ensure regulatory compliance
• Monitor quality standards
• Review FATCA/CRS documentation
• Validate complex structures
• Oversee periodic reviews
  
  

Tasks

• Review complex KYC files
• Validate risk assessment decisions
• Review CDD/EDD documentation
• Verify compliance conclusions
• Review FATCA classifications
• Validate regulatory reporting
• Monitor review deadlines
• Check quality standards
• Verify escalation decisions
• Review periodic assessments
• Validate complex structures
• Document review findings
  
  

What We Offer

• Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
• Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
• Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
• Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
• Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
  
  

Qualifications

ABOUT YOU

• You have a bachelor’s degree in finance, Accounting, Business Administration, or related fields
• You have at least 3-4 years of AML/KYC or compliance experience, with a focus on quality assurance and risk validation
• You preferably have experience in funds or trust administration, including AML, KYC, compliance, and risk validation.
• You have proficiency in reviewing and validating complex compliance structures
• You have experience in quality control and standardization
• You have high-level communication skills for internal and external reviews
• You have strong decision-making and problem-solving capabilities
• You have accountability and a commitment to high-quality standards
• You have supportiveness and mentorship in driving team improvement
  
  

Additional Information

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.