Compliance Analyst with a Global Investment

**2 to 5 years of compliance and KYC experience**:

- **Comprehensive knowledge of KYC.**:

- **Knowledge of PEPs, SOEs and risk associated with Bribery and corruption (ABC)**

Our client is a global investment firm focusing on the investment of infrastructure projects across the globe. It offers an international MNC work environment and a flexi work arrangement (work in office 2 days per week. The office is based in town).

The co’s global team is small, diverse, focused, collaborative and action orientated. The co is looking for a hands-on compliance analyst to deliver against the responsibilities of the role and who are passionate about making a difference whilst working in an entrepreneurial and innovative environment.

This is a newly created role whereby you report directly to the Compliance Manger(based in London) and also work with the Chief Risk Officer (based in Singapore). You will be responsible for ensuring company compliance with regulatory requirements and policies. The Legal & Compliance team is located in London and provides legal and compliance support to the firm and its transactions.

**MAIN RESPONSIBILITIES**

The main work streams of the Compliance Analyst are:
Customer Due Diligence / Know Your Customer (“KYC”) for the firm:

- Regular contact with the firm’s outsourced CDD provider (currently Control Risks) and act the point of contact for KYC matters
- Review, assess compliance reports and ongoing monitoring alerts from the firm’s outsourced CDD provider. Recommend for approval or escalate issues and adverse hits in line with the firm’s CDD procedures
- Conduct basic CDD screening and supplier due diligence when not out-sourced to CDD provider
- Review the tracker maintained by the firm’s outsourced CDD provider to ensure CDD is being carried out in accordance with the firm’s requirements
- Attend regular alignment calls with the outsourced CDD provider to discuss clients under review and any further action required
- Draft PEP reports / adverse information for the firm’s Committee approval
- Ensure all Standard Operating Procedures for KYC / client on-boarding is fully documented and maintained
- Assist with external KYC requests in respect of the firm.
- Arrange AML / KYC training for the staff on a regular basis, ensuring appropriate levels of knowledge across the team
- Support Compliance manager with KYC tasks, refinement of current process and ongoing projects

Compliance
- Supportthe firm’s quarterly checks on compliance with the holding co’s Operating Policies and Procedures (OPPs)
- Registering staff quarterly OPP responses and send reminders/chasers
- Ensure the co’s website kept up-to-date in line with the holding co’s OPP
- Ensure the firm’s Contracts Register is being properly updated (Finance Team responsible for making entries into Register)
- Update the firm’s Gifts & Hospitality Register
- Maintain the firm’s Conflicts of Interest Register
- Maintain the firm’s Personal Accounts Dealing policy compliance
- Respond to PAD enquires and log PAD requests
- Assist with completion of the firm’s annual OPP compliance certification to the HQ and its delivery on time and coordinating response with COO / CFO [and General Counsel]
- Liaising with the firm’s internal auditor on queries in relation to the firm’s internal compliance controls
- Lead on collating a response to any HQ’s compliance audits or policy updates from time to time
- Assist the [General Counsel] with completion of quarterly compliance reporting
- Assist with the organization of bite sized training schedule on the firm’s policies
- Assist with compliance training which includes Anti-Money Laundering, Anti-Bribery and UK Market Conduct training and maintain register of training records
- Assist with other compliance training as required for the team
- Assist with compliance induction
- Liaise with the HQ on joint compliance initiatives and attend monthly meetings with the HQ’s compliance team

Procurement (now sitting with legal and finance)
- not a major portion
- Assist team with procurement queries and advice on the firm’s procurement activities.
- Conducts quarterly OPP procurement checks and log relevant procurement samples
- Work with the Legal Team on ensuring the firm’s procurement requirements are met and understood by the wider team

Incident Reporting
- Act as the incident coordinator ensuring all serious incidents is reported to the HQ and the firm’s Risk and Finance Committee in a timely manner
- Work closely with CRM and provide regular updates of incidents to Portfolio Committee
- Act as the coordinator for the firm’s compliance breaches
- Assist with the maintenance of the Incident log for the firm

Any other reasonable duties as may be assigned by the firm.

**ESSENTIAL CRITERIA**

**Essential**
- Degree qualified with around **2 to 5 years of compliance and KYC experience**:

- **Comprehensive knowledge of KYC.**:

- **Knowledge of PEPs, S