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AML / KYC Officer


London, United Kingdom

Job Description:

Counterparty Verification - Analyst

Accountabilities and Responsibilities: (5 to 6 key outputs for which job holder accountable)

• Review and verification of AML/KYC Client documentation for Data Admin Team
• Review of counterparty registration applications and follow up reviews with adherence to all Mizuho Compliance procedures
• Review of information currently held on due diligence files against the current Due Diligence policy and regulatory requirements and identify any shortfalls
• Perform client identification and verification on Financial Intermediaries
• Liaison with Internal Clients Advising Business Units of due diligence requirements
• Maintain high quality reference data across London Branch and European Office systems in conjunction with AML/KYC Client documentation verification
• Build relationships and business understanding with Internal Clients in order to initiate and implement improvements to existing processes

• Timely and accurate preparation of Management reports.
• Project deliverables
• Customer satisfaction
• Ensure all new counterparts money laundering checks are completed before registration.
• Ensure timely completion of Rolling reviews and escalate to compliance where necessary.
• Team player evidenced by timely achievement of all group deliverables.
• Demonstrable compliance with the QMS.
• Adhoc projects
• Daily reconciliations
• Daily/Monthly reporting.

? Demonstrable knowledge of Anti-Money Laundering & Account Opening and customer due diligence procedures- Essential
? Proficient practical knowledge of UK anti-money laundering requirements (including the Money Laundering Regulations, the Proceeds of Crime Act, the Terrorism Act) - Essential
? Demonstrable knowledge of Reference Data maintenance procedures for Customer (contact, regulatory & credit line information), SSI, Credit Limits & International Calendars - Essential
? System use skills - across Microsoft Office products – Desirable
? Experience within an investment banking environment, has a good understanding across Products - Essential
? Experience in working with front office business areas and Compliance -Essential
? Flexible attitude and able to communicate and positively influence colleagues with new ideas Essential
? System skills - across Microsoft Office products, including Intermediate Excel – Desirable
? Management experience, able to demonstrate managing a team, setting challenges and appraisals. – Essential

Team work — Intermediate
Recognizes when others need help & proactively supports them. Works co-operatively with & promotes close working between own & others teams. Builds team spirit by encouraging participation from & co-operation between team members.
Decision Making - Intermediate
Responds quickly in a crisis, taking action to avoid escalation. Weighs up costs, benefits & risks of outcomes. Capable of properly evaluating complex factors
Flexibility - Intermediate
Able to respond to changing business/operational requirements by designing and introducing new processes and procedures. Tailor work pattern & services effectively to internal/external customer needs
Planning and Organisation - Intermediate
Plans and organizes work activities to ensure team delivers required results fully using individuals skills and capabilities. Changes priorities to fit changing circumstances. Consults with others when deciding most efficient way to execute tasks. Anticipates potential problems by preparing alternative plans of action.
Problem Resolution - Intermediate
Understands how different parts of problem or situation link together. Has a clear understanding of pros & cons. Able to stand back from problem & see the bigger picture. Adopts a logical step by step approach to analysis sorting out critical factors & trends underlying a problem. Locates a variety of novel and innovative information sources.
Communication - Intermediate
Asks open questions & summaries conversation to check understanding. Gives simple clear explanations of instructions so individuals are left in no doubt what is expected of them. Proactively ensures there is good 2 way communication between self & staff, self & colleagues and self & customers, ensuring information is imparted clearly & there is a willingness to listen & respond to feedback.

• Banking qualifications desirable – providing product knowledge

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