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