London, GB,

Compliance,

Full-Time

For more information visit https://www.marex.com/

The Periodic Review function is part of the KYC/On-Boarding function within Operations servicing the Marex Group globally.  The primary objective is to ensure all clients maintain up to date due diligence documentation in line with Marex standards and policy.  Periodic Review is a control function and have a responsibility to protect Marex and our clients, escalate issues where and when they arise and demonstrate a strong knowledge of KYC and AML to serve as a first line of defence.

Responsibilities:

Ensure that appropriate CDD/KYC and AML checks are performed on all existing customers, and in accordance with local regulatory requirements, in conjunction with the Financial Crime Compliance team.
Ensure that appropriate customer categorizations are carried out in accordance with local regulatory requirements.
Manage the Client Outreach process effectively and raise any issues or concerns to the PR Team Lead in a timely manner.
Ensure that the integrity of the static data inputted by the Onboarding Team into the Client Data Base (a.k.a. PeopleSoft) is accurate. To be validated and amended during periodic review.
Manage and prioritise the periodic review cases on a weekly basis.
Ensure that complete records of all client documentation are maintained.
Ensure that desk procedures are kept up to date.
Ensure that the Front Office is advised, when necessary, of the relevant Groups KYC minimum standards procedure and documentation requirements.
To assist on ad-hoc trigger reviews, projects, audits that the Periodic Review department is required to carry out.
Efficiently deal with general day-to-day ad-hoc queries.
Work closely with the Financial Crime Compliance team.
Keeping management informed of issues and developments in a timely manner.
Ensuring compliance with the companys regulatory requirements under the FCA
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with the FCAs Code of Conduct
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
To report any breaches of policy to Compliance and/ or your supervisor as required
To escalate risk events immediately
To provide input to risk management processes, as required.

Skills & Experience:

Understanding of KYC principles and knowledge of corporate structures
Awareness and knowledge of; FCA Handbook, JMLSG, AML/ABC/TF regs
Research and analytical skills with the ability to summarise complex findings
Effective written and oral communication
Self-motivated, organised, pragmatic whilst being able to deliver under pressure
Analytical skills
Problem solving skills
Experience in stakeholder management
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Competencies:

Excellent verbal and written communication skills
A collaborative team player, approachable, self-efficient and influences a positive work environment
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Ability to take a high level of responsibility in a fast pace and high-volume environment
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

If youre forging a career in this area and are looking for your next step, get in touch!

Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

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