Compliance Analyst, Finance & Banking

Requirements

• A Bachelor’s or Diploma in Law, Finance, Business Administration, or Risk Management is preferred.
• 3–5 years of experience in a law practice, professional services, or finance environment, with a solid understanding of financial processes and operations.
• 3–5 years of experience in KYC processes, including client onboarding and verification procedures.
• 3–5 years of experience in Compliance and Risk Management, with the ability to identify, assess, and mitigate compliance risks effectively.
• Strong knowledge of regulatory frameworks and corporate governance, particularly within a law practice or financial services environment.
• Proficiency in compliance systems, KYC tools, and Microsoft Office.

• Understand and apply all relevant regulatory and statutory requirements, such as the FIC Act, FICA, and others.
• Receive KYC (Know Your Client), NBI (New Business Intake), and LPA (Legal Practice Act) requests from the dashboard and update processing actions accordingly.
• Analyse details provided in the Firm Questionnaire for FICA purposes and utilise relevant sources to search and verify information.
• Ensure that all relevant supporting documentation has been provided and is complete.
• Process confirmations of ultimate beneficial owners, PEPs, and adverse information, and analyse both provided and researched information to determine the level of risk to the firm.
• Respond to and resolve all general and system queries related to FICA requirements promptly.
• Monitor alerts and reports on an ongoing basis to ensure compliance.
• Maintain and file documents in a central database, including engagement letters and compliance memos, according to firm standards.
• Link client codes to matters and manage the linking of lead matters in the system as per instructions received.