Compliance Analyst (KYC)

Houlihan Lokey - Experienced Careers; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A global investment bank is seeking a Compliance Analyst/Associate in London. The role involves supporting KYC/AML requirements and developing compliance procedures. Ideal candidates should have experience in investment banking compliance, strong communication skills, and attention to detail. This position offers an opportunity to work in a collaborative environment and manage multiple priorities effectively.

Qualifications

• Relevant investment banking compliance or regulatory experience.
• Proactive, hands-on, and collaborative attitude is essential.
• Strong verbal and written communication skills.

Responsibilities

• Assist with the KYC process and ensure adherence to compliance.
• Develop and maintain a robust control framework.
• Produce compliance and board reports for senior management.

Skills

Investment banking compliance experience

Strong interpersonal skills

Attention to detail

Project management skills

Proactive and collaborative attitude

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Job description

Business Unit:

Legal And Compliance

Industry:

No Industry Overview

Houlihan Lokey, Inc. (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and financial and valuation advisory. Houlihan Lokey serves corporations, institutions, and governments worldwide with offices in the Americas, Europe, the Middle East, and the Asia-Pacific region. Independent advice and intellectual rigor are hallmarks of the firm’s commitment to client success across its advisory services. The firm is the No. 1 investment bank for global M&A transactions under $1 billion, the No. 1 M&A advisor for the past eight consecutive years in the U.S., the No. 1 global restructuring advisor for the past nine consecutive years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by Refinitiv.

Scope

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.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, protected veteran status, or any other characteristic protected by law.

#LI-111419