Junior Financial Crime Analyst

Department Overview

The Compliance Department ensures the firm operates in compliance with regulatory obligations and has systems and controls for the prevention of Financial Crime. It is split into Regulatory Compliance, the Financial Crime team, and Senior Legal Advisor functions. The department is transitioning to a model where a new ‘Customer Success Team’ will handle reviews on low and medium risk cases, allowing the Financial Crime team to focus on higher risk reviews.

The Junior Financial Crime Compliance Analyst carries out Financial Crime, AML and KYC requirements within Policies & Procedures – in relation to Customer Onboarding. Responsibilities include staying up‑to‑date on AML regulations, resolving concerns, obtaining approvals from senior members, performing Enhanced AML/Due diligence checks on clients, and preparing informative reports. The role also involves onboarding high‑risk clients, adhering to internal policies, and identifying potential risks to the business by following escalation processes.

• Assess and onboard High Risk rated clients to Monex Europe Markets and Monex Europe Limited.
• Support the Onboarding Manager and DMLRO/MLRO across all areas of Financial Crime and Fraud.
• Work closely with the Customer Success Team, front office staff, and other departments to raise awareness of client risk.
• Analyse complex ownership structures and investigate all positive alerts including PEP, sanctions and adverse media following the escalation process.
• Identify potential conflicts issues and escalating them to the line manager.
• Carry out research on the source of wealth and funds of new High Risk Clients.
• Handle PEP classification and escalation for sign‑off.
• Produce detailed reports with recommendations based on findings.
• Contribute to the development, preparation and maintenance of financial crime policies, procedures and training materials.
• Respond to financial crime compliance questions and requests from other departments.
• Support the Financial Crime Monitoring team with ongoing due diligence requirements.
• Establish good relationships with the Customer Success Team, front office and other departments to position Compliance as an effective second line of defence.
• Assist in AML training to support staff and new joiners.
• Maintain CPD and personal development.
• Assist with overall Compliance strategies for London and advise Senior management and Front office on global risk appetite and country‑specific regulations.
• Ensure compliance with policies and procedures across jurisdictions.
• Assist in continuous review and improvement of monitoring policies and procedures.
• Provide guidance on remediation or transaction monitoring documentation.
• Assist in identifying and investigating suspicious activity/transaction reports and report to the MLRO or Deputy MLRO.
• Assist in the review and improvement of monitoring systems and controls.

• Encourage good communication with the Customer Success Team, front office and all other departments.
• Promote the Compliance Department as an essential and effective second line of defence.
• Provide guidance on required documentation for remediation or transaction monitoring.
• Continue forming good working relationships across compliance departments to improve communication.

• Complete annual online training.
• Assist in AML training for staff and new joiners.
• Maintain CPD and personal development.

Assist with overall Compliance strategies for London, completing day‑to‑day operations; advise Senior management and Front office on global risk appetite, current country‑specific regulations and guidelines.

Maintain a broad understanding of Financial Crime regulations across relevant jurisdictions; adhere to policies and procedures; assist in continuous review and improvement of monitoring policies and procedures; ensure risk‑based procedures are in place for review and escalation of due diligence/KYC documentation and information.

• Assist in identifying and investigating suspicious activity/transaction reports and reporting accordingly to the MLRO or Deputy MLRO.
• Assist with the review and improvement of monitoring systems and controls.

• Assist with sourcing and maintaining all Compliance/Monitoring systems.
• Assist in the development of internal systems to support the execution of daily tasks within the monitoring team.

• Previous experience working within a regulated industry.
• Experience with global AML and Financial Crime exposure.
• Experience with complex AML/FC projects.
• Experience working on AML/FC issues across jurisdictions and multiple legal entities.
• Experience in transactional monitoring, payment authorisations, periodic reviews and analysis of trading patterns and data.