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    We are looking for a Junior AML Compliance Analyst to join our Compliance team to assist the team in maintaining effective systems and controls for compliance with applicable regulatory requirements and standards on managing financial crime risks.

    The overall objective is to utilise AML knowledge to independently review, analyse and conduct effective due diligence on prospective and existing clients of the firm and to conduct investigations on higher risk cases that may be a potential risk to CGL.

    This is a 6 month fixed term contract with the possibility to covert into a permanent role with the team depending on personal performance and company requirement. 

    Responsibilities

    • Client onboarding in line with current AML regulations and internal policies.
    • Assist with the investigations and research on potentially suspicious clients using various internal and external systems and databases.
    • Document and report the review/investigation findings and prepare case files with the required supporting documentation.
    • Process client take-on and associated AML/KYC tasks for the business.
    • Present required AML / KYC documentation to the MLRO to assist in client onboarding or review. 
    • Maintain records of all client onboarding and/or subsequent review. 
    • Participate in as-needed risk assessments and audits
    • Keeping abreast of regulatory changes.
    • Reviewing policies and amending as and when required.
    • Liaising with front office when collecting client due diligence.
    • Producing management information as and when required and attending and minuting various committees.
    • Deal with day-to-day compliance issues, aiding the Compliance team, the MLRO and the Head of Legal and Compliance
    • Any ad-hoc project work.

    Qualifications, Experience and Skills

    • A good understanding of the regulatory landscape faced by the UK financial services industry.
    • Ideally educated to degree level or equivalent.
    • Previous experience such as an internship working in a compliance team would be beneficial but not essential.
    • Excellent Excel, PowerPoint and Word skills
    • Good awareness and understanding of SMCR, the FCA and regulatory framework
    • Excellent understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering and Financial Crime.
    • Excellent communication skills, both written and oral.
    • Ability to prioritise competing demands and meet deadlines.
    • Experience of a high level of confidentiality and integrity.

    Additional Information

    Canaccord Genuity Limited aim to promote an environment free from discrimination, harassment and victimisation where everyone receives equal treatment regardless of age, colour, disability, gender, race, sexual orientation, hours of work, marital status, national origin, political opinions or religious beliefs.

    All decisions on employment practices are objective, free from bias and based upon work criteria and individual merit. To monitor the effectiveness of our efforts in regards to offering equal opportunities, we would be grateful if you would provide the relevant information requested on the application form.

    The information requested will be detached by us upon receipt of your application and will not be used during the selection process.