Compliance Analyst (KYC)

Houlihan Lokey is seeking a Compliance Analyst/Associate (dependent on experience) to support certain regulatory aspects of its ‘International’ (non-US) operations. Working as part of the Legal and Compliance team in London, and with the assistance of local legal and compliance advisors, the primary focus of the role will be to assist with, and ensure adherence to, the firm’s KYC/AML requirements. Additionally, assist with developing a robust control framework covering a broad range of activities, including compliance monitoring and reporting, compliance with KYC/AML requirements, ongoing monitoring and reporting, and active involvement with systems initiatives and other projects.
Responsibilities
Know Your Customer (KYC) - Proactively assisting the deal teams across the firm’s business units with, and ensuring adherence to, the KYC process, assisting with KYC preparation and review, ongoing monitoring, and participating in a live project to semi-automate the KYC process.
Control Framework - Developing and maintaining robust and consistent procedures and controls for the Firm’s business activities and regulatory programmes.
Compliance reporting - Production of periodic compliance, board and other reporting for senior management.
Compliance Documentation – Maintaining KYC records, relevant sections of Compliance Manuals, Codes of Ethics, AML and financial crime policies, and other policies as required, as well as recommending and drafting updates/revisions as necessary.
Training – assisting with the development and roll out of training programmes.
Assisting with various systems initiatives and other projects as necessary.
As it applies to the firm, maintaining a competent level of expertise and knowledge of the requirements of the FCA in the UK, and other local regulators across the ‘International’ jurisdictions, with the assistance of local legal and compliance advisors.
Basic Qualifications
Relevant investment banking compliance or regulatory experience.
Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity.
Strong verbal and written communication skills, with an ability to present ideas and information clearly, logically and succinctly.
Proactive, hands-on, and collaborative attitude is essential, with a readiness to take responsibility and be held accountable.
Attention to detail, with excellent organisational skills, with the ability to project manage multiple priorities simultaneously.
Ability to handle multiple tasks and work to tight deadlines/under pressure with limited supervision.
Systems literate / competent user of Microsoft Office, including Excel, Word and PowerPoint.