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KYC/CDD Senior Administrator

Location: St Peter Port, Guernsey
Date Posted: Feb 27, 2023

• Execute the duties of the role diligently and professionally
• Deliver the Apex Client Charter
• Act in accordance with the Apex Code of Conduct
• Support and foster collegiate and friendly interpersonal relationships at all levels

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  Report to the KYC/CDD Manager and assist in their duties to ensure customer/Investor due diligence is kept to a high standard.

• The postholder will assist in the oversight of remote team of CDD Analysts/File Reviewers on a day-to-day basis.

• The role will ensure all due diligence procedures, processes and controls are applied throughout the lifecycle of the customer and in accordance with the local regulations, Apex policies and procedures.

• The postholder is required to have an excellent understanding of KYC/CDD regulations applicable to Guernsey and able to apply the rules to protect the business.

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  Perform KYC and customer documentation analysis in support of new Investors closings, look-back remediation, KYC refresh, ongoing due diligence, identifying and applying regulatory requirements and internal procedures.

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  Perform open source searches, file reviews, verification and escalate findings where necessary.

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  To be able to interact and give advice & guidance on all KYC/CDD related matters to the 1LoD, key stakeholders & customers/clients, where applicable.

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  Study legal and commercial documents to understand customer activity and associated risks.

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  Obtain a general understanding and able execute AML/CFT policies and procedures, in accordance with local & Group controls.

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  Quality Control activities: Obtain an in-depth knowledge of procedures and systems to ensure customer records and maintained, assessable, and compliant with regulatory requirements.

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  Teamwork with other stakeholders, Legal, AML, Compliance, Regional and Group on-boarding teams.

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  Prepare customer KYC/CDD files, reports, and file-notes as required and participate in special projects, as requested.

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  To assist the KYC/CDD Manager in the collation of Management Information (MI), providing oversight.

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  Be central to the Teams role to implement client/investor ongoing review program.
• Assistance with the final review of all relevant KYC/CDD tasks and oversight of tasks.
• Provide KYC/CDD advice and guidance to the business.
• Knowledge of customer screening tools, World Check One.
• In conjunction with The ID Register, review and sign off CDD as required across the business and undertake oversight where required.
• To refer any sanctions monitoring alerts and negative news screening results and undertake any actions as required.
• Support and liaise with The ID Register Operations Manager to continuously improve processes and systems.
• To provide assistance to the Apex AML team engagement to manage all aspects of countering financial crime and terrorist financing.

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  To understand and have an excellent knowledge of Guernsey AML/CFT, legislation & regulations and a working knowledge in all jurisdictions in which Apex operates.
• An excellent knowledge of KYC/CDD.
• Understanding the concept & use of sanctions and customer screening tools.
• Monitor systems and suggest changes to system and processes in line with technical change.

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  To produce all necessary reports relating to the KYC/CDD Manager, as required.
• To fulfil the role of an KYC/CDD Senior administrator.
• To ensure the filing of all necessary forms / submissions.
• To keep up to date on all relevant legal and regulatory changes relevant to the role & business.
• To provide advice and guidance on technical KYC /CDD legal or regulatory changes to the KYC/CDD Manager, as required.
• To assist to ensure that staff receive adequate and appropriate training on KYC/CDD, risk and compliance to meet regulatory responsibilities.

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  Self management and interpersonal skills and relationship management at all levels.
• The ability to deliver pragmatic solutions to AML/CFT related issues.
• Self-starting and capable of working with light supervision.
• Confident delivery of solutions to support the business.
• Processes a high level of Integrity, trustworthiness and confidentially.

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  Commitment to continuous professional development.
• Attendance at Industry seminars.
• AML/CFT, particularly KYC/CDD and other relevant update / skills courses as required.
• Bachelor’s degree / Compliance/AML qualifications, for example the KYC/CDD Certificate/Diploma, Compliance/AML/FCP.