Financial Institution Group; FIG Compliance Operations Executive

Role Purpose

As a FIG Compliance Operations Executive you will assist with compliance onboarding duties including preliminary account checks and customer liaison related to documentation requests for Financial Institution Group (FIG) customers. You will ensure desk account reviews and transaction monitoring alerts are completed in a timely manner as part of ongoing due diligence. You will conduct correspondent bank and customer questionnaires within the expected timeframe and elevate issues for management review in a timely manner.

Additionally you will address any request for due diligence documents from prospective and existing customers and handle day‑to‑day compliance queries, screening and monitoring.

• Run preliminary checks on prospective customers using provided compliance tools and open‑source sources to identify ownership and management of customers, and to perform adverse media, PEP & Sanctions checks in line with procedures.
• Ensure CDD documents received are in line with requirements as per procedures.
• Follow robust processes to review new customer onboarding applications, ensuring all procedures are adhered to and recorded in CRM.
• Conduct full account reviews on prospects and existing customers as per the CDD/KYC account review procedures and in line with the ongoing refresh cycle.
• Ensure legal attestation documentation is in place as per conditions of trading and second‑line approvals.
• Maintain a log for outstanding attestations, promptly report and elevate missing attestations to senior management.
• Act as a liaison to respond and provide external requests for documentation including compliance questionnaires and other Moneycorp CDD documentation relevant to establishing and maintaining commercial relationships.
• Manage and follow up on outstanding documentation for prospective customers and existing FIG customers and counter parties.
• Manage daily ongoing sanctions/PEP/adverse media screening.
• Perform first‑line transaction monitoring alerts in the proprietary monitoring platform.
• Process any changes to customer profile, including changes to delivery location or standard settlement instructions, adding/removing users, signatories, directors and ownership in line with procedures.
• Ensure all appropriate escalations are made to the second‑line FIG Compliance function.

• Provide management with statistical information regarding CDD status and remediation projects in a clear and concise manner.
• Maintain, manage and report on account opening progress statistics.
• Monitor the exceptions log in relation to customers on‑boarded.
• Keep abreast of the prospective customer pipeline and proactively manage workload.
• Assist with any other ad‑hoc duties or emails as required.

• Understanding of global AML rules and best practices.
• Keeps up to date with the market.

• Able to build effective professional relationships.
• Effective report writing at a level suitable for executive dissemination.
• Able to work under pressure.
• Highly organized.
• IT proficient.
• Clear communicator.
• Attention to detail.

Please note:

This is a full‑time, permanent position with an opportunity to work in our London office.

This role offers a competitive salary, a structured commission plan, plus a benefits package including private medical health insurance.

We're committed to creating a workplace where every individual feels valued, respected, and included. As an Equal Opportunity Employer, we actively cultivate an inclusive culture where diversity thrives, and we empower our colleagues to drive meaningful change within our organization through Employee Engagement initiatives and value‑champion networks. We remain steadfast in our commitment to progress and ensure our initiatives are impactful and responsive to evolving needs.