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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in KYC processes, compliance policies, and client onboarding within capital markets. Proficient in managing transaction files, conducting risk assessments, and liaising with multiple stakeholders to ensure adherence to regulatory requirements.
Highest-signal resume keywords
KYC RequirementsClient OnboardingCompliance PoliciesRisk AssessmentsTransaction Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
KYC DocumentationCompliance ScreeningEntity Structures UnderstandingMoney Laundering TypologiesTransaction Document Review
Soft Skills
Communication SkillsInterpersonal SkillsTime ManagementTeam CollaborationProblem Solving
Industry Keywords
Capital MarketsClient IdentificationDue DiligenceUBO AssessmentsSanctions Screening
About the role
Key responsibilities & impact- Assist with client onboarding of capital markets deals in conjunction with other CSC teams
- Liaise with transaction parties during transaction setup and manage the transaction file
- Work with clients to collate correct KYC information
- Work with Group Compliance to input KYC information into relevant databases and obtain necessary approvals before deal closing
- Manage static data and complete annual KYC refreshes within specified timeframes
- Work closely with colleagues in other locations
- Serve as primary client contact for requesting, collecting, and reviewing KYC documentation during onboarding and periodic reviews
- Present deals to the Business Acceptance Committee for approval when required
- Work with the wider capital markets / CSC team to manage deal onboarding
- Review and analyse client ownership structures, perform UBO and risk assessments
- Conduct PEP, sanctions, and general compliance screenings and analyse results
- Manage static data changes in line with standard operating procedures
- Review and approve due execution of relevant transaction documents in line with standard operating procedures
- Handle ad hoc simple transaction enquiries and relevant correspondence
Requirements
What you’ll need- Understanding of different entity structures (e.g. Ltd, PLC, Partnerships, Trusts, Charities etc.) is desirable
- A legal background, or prior experience in compliance or client onboarding, is considered beneficial
- Experience of finance-related work is beneficial
- Familiarity with KYC requirements for clients’ identification and verification
- Ability to adhere to and apply compliance policies and procedures
- Understanding and knowledge of traditional money laundering and terrorist financing typologies
- An excellent level of communication skills, both oral and written, and a high level of interpersonal skills
- Ability to balance competing priorities and meet deadlines within the context of a demanding workload
- Ability to work independently and effectively as part of a team, both within the capital markets team and in a multi-disciplinary setting
Benefits
Comp & perks- Annual success-sharing bonuses or commission plans based on individual performance
- Excellent benefits
- Annual leave
- Tuition reimbursement
- Referral bonuses
- Competitive and comprehensive benefits package
- Hybrid or remote work schedules as business needs allow and in alignment with local regulations
- Support and resources for colleagues with disabilities