AML / Compliance Analyst **Dept: Compliance

Reports to: Head of Compliance/MLRO

Experience: 2–3 years

Location: Office, London

Type: Permanent, full-time** Role Support AML/KYC onboarding and monitoring; keep records; assist wider compliance (monitoring, Consumer Duty MI, registers, returns).

Key Responsibilities

- CDD/KYC for individuals/entities; assess UBOs, SoF/SoW; SmartSearch a plus.
- Sanctions/PEP/adverse media screening; investigate and escalate to MLRO.
- Risk assessments, EDD, periodic/trigger reviews; maintain files, logs, MI.
- Compliance monitoring: testing, reporting, tracking actions; Consumer Duty MI.
- Employee compliance (PA dealing, gifts, conflicts, OBIs, attestations); maintain registers and SM&CR; records.
- Assist regulatory returns/requests; help update policies/procedures/training.

Essential





- 2–3 years AML/KYC/onboarding or compliance in FCA‑regulated (or similar) setting.
- Hands‑on CDD/KYC incl. EDD, SoF/SoW; screening (sanctions/PEP/adverse media).

Desirable

- Experience within an investment firm, stockbroker, corporate broker, wealth manager, asset manager or capital markets business.
- Experience of compliance monitoring or file-review testing.
- Familiarity with the FCA Handbook, including the Principles for Businesses, SYSC, COBS and Consumer Duty requirements.
- Knowledge of the Senior Managers and Certification Regime.

Qualifications Degree or equivalent preferred; ICA/CISI (or similar) advantageous. Note: No agencies.

📌 AML / Compliance Analyst (Sydney)
🏢 FINSIA
📍 Sydney