Client Onboarding Analyst

We are passionate about our business and our culture, and are seeking individuals with that same drive.

Analyst - Business Selection and Client Onboarding (Conflicts and AML)

Description

The Analyst position in the Business Selection and Client Onboarding team assists senior team members in reviewing and approving investment banking transactions in relation to conflicts of interest and Anti Money Laundering and Know Your Client (AML/KYC) requirements.  Since all investment banking transactions must be analyzed by this team before they are accepted by the firm, this team works in a demanding and time sensitive environment.  This is a Business Management position requiring heavy interaction with banking teams and Legal & Compliance. 

Responsibilities

• Assists with the firm’s conflict clearance process escalating any potential relevant issues identified during the review process to senior team members
• Assists senior team members in large scale conflicts and disclosure projects
• Works within a team that will evaluate a variety of corporate finance transactions (M&A, restructuring, capital markets) for conflicts of interest, including:

• Conducting conflict checks by searching various databases, and analyzing hits with a view to identifying potential legal, regulatory, compliance and/or reputational risks
• Working with the business and Legal & Compliance to resolve identified risks in a timely and efficient manner
• Conferring with senior team members in the escalation of complex conflicts issues

• Participates in the firm’s client onboarding process, interacting frequently with junior investment bankers to obtain required KYC information and related documentation
  • Know and have a good understanding of the applicable AML and KYC regulations for relevant jurisdictions
  • Research and obtain KYC documents from public sources
  • Communicate with clients to obtain relevant KYC documents
  • Be a trusted advisor and help train junior bankers to ensure they know and understand the firms onboarding procedure
  • Screen entities and individuals and maintain ongoing monitoring of screening results 
  • Working with Legal & Compliance (including the MLRO) to review and resolve identified areas of concern
• Assists senior team members in coordinating all activities associated with client set-up and ensure related regulatory requirements are met, including:

• Assisting in the completion, submission and review of KYC forms by bankers
• Assisting in the identification of regulatory and reputational risks and escalation of such risks to team manager
• Working with senior team members, clients, the business and Legal & Compliance to resolve identified risks in a timely and efficient manner
• Monitoring client activities and investigating suspicious activity where applicable

Qualifications

• 1-3 years of experience in a legal, business or compliance-oriented role, preferably in an investment bank or corporate advisory firm
• Basic knowledge and understanding of M&A, restructuring and/or capital markets concepts
• Ability to analyse complex situations on compressed timetables
• Excellent verbal and written communication skills and ability to effectively interact with clients and colleagues at all levels of experience and seniority
• Willingness to work with fellow team members to complete large scale, time sensitive projects
• Resourcefulness; ability to think creatively to solve problems and anticipate potential questions or issues
• Effective time management and prioritization; strong multi-tasking abilities
• Excellent judgment in handling sensitive and confidential information
• Attention to detail and high standard for quality work product
• Ability to quickly and efficiently navigate information systems
• Strong interest in and willingness to learn complex regulatory systems and rules
• Strong intellectual curiosity and willingness to seek guidance from senior team members and team manager
• Bachelor’s degree

Working hours

• Wednesday to Sunday to ensure support for the Global offices and urgent requests
• Flexible working hours from home during Saturday and Sunday

We are an equal opportunity employer and are committed to promoting diversity, preventing discrimination and providing a supportive and inclusive working environment. We seek to ensure that we recruit from a diverse talent pool and that all applicants are treated fairly at each stage of the recruitment process. Applicants are considered for employment opportunities without regard to any characteristic or status protected under any applicable law in the location of the role.