Controls Analyst - Sales Support (Investment banking)

6 month contract

Inside IR35

Investment Banking

50% London office presence

KYC Support

* Provide ad-hoc support to Relationship Management to enable the completion of documentation that forms

the basis of KYC for new clients at appropriate point in the deal lifecycle, as needed

* Organise and manage the weekly KYC Pipeline Review meeting between operational teams and Client

Development by coordinating attendance, setting the agenda and leading discussions. Facilitate the

meetings to ensure productive outcomes, including confirming actions.

* Proactively participate in discussions on operational efficiency and quality improvements associated with

Client Onboarding and Client Recertification processes.

* Ensure due diligence requirements are met for existing clients in line with their review schedule.

* Oversee provision of accurate information from Sales and Relationship Managers in relation to

documentation required to complete KYC files in a timely manner.

* Act as a point of contact between the KYC team and Client Development on matters relating to KYC and due

diligence, liaising with internal counterparts including Compliance, Legal, and local and global KYC teams to

resolve KYC-related queries and implement process related changes.

* Keep abreast of issues affecting KYC and the risk rating of clients, and, in conjunction with the KYC Specialist,

proactively instigate required changes and communicate these to Client Development.

* Produce KYC-related MI for Senior Management on behalf of Client Development, as required.

Level 1 Controls & Reporting

* Conduct controls on a monthly basis to:

Ensure all deals and renegotiations are taken through the full Business Acceptance process as per

global guidance, and all required documentation has been completed

Ensure that business revenue have been advised of all new and amended fee schedules

While performing controls, critique and challenge exemptions to ensure compliance with policies

and procedures. Ensure appropriate action plans are put in place and completed to address

unsatisfactory results.

Ensure that any credit lines required for UK booking activity have been requested by RMs, when

flagged on Risk reporting (from Beacon).

Prepare and submit weekly reports to the Head of Client Development on any outstanding Billing

invoices that have not been approved.

* Fulfil the role of Third Party Coordinator for the UK, responsible for the clean-up of historic data in Cerise, and

the point of contact for referential data.

* Produce, monitor and challenge KPIs surrounding the provision of instructions to Business Revenue to prevent

loss of revenue.

* Produce detailed MI reports on volumes not billed and unattached accounts for presentation to various

Management Committees, to highlight potential loss of revenue and failed control points, enabling remedial

action to be taken.

* Governance and oversight of the Gifts, Invitations & Other Advantages procedure and reporting, including

the production of monthly MI reports for the Client Development Internal Control Committee.

Client Development Support

* Raise awareness within Client Development of ongoing requirements and key changes in relation to KYC processes (in conjunction with the KYC Specialist), , Cross-border marketing and interactions, Gifts, Invitations & Other Advantages, and Business Revenue processes on a regular basis.

* Point of contact for Client Development in relation to queries on the above topics, as well as other key processes where required. Responsible for providing clarity on best practice, challenging the status quo, and designing, delivering and maintaining training packs and guidance documents on these topics, liaising with relevant stakeholders where required.

* Primary coordination point within the department between Business Revenue and Relationship Managers in relation to Client Development related queries on Billing matters and processes, and a key stakeholder for any proposed changes to process.

* Single point of contact for the department in relation to Cross-border marketing and interactions. Responsible for providing clarity on the restrictions and liaising with Legal and Compliance, where required, to ensure compliance with UK policies.

* Point of contact for Client Development usage of DocuSign and the storage of client legal documentation. Responsible for uploading newly executed agreements submitted by Relationship Managers in Cerise.

Other

* Act as back-up to the Sales Support Analyst on matters relating to Business Acceptance and Client Classification.
Assist the Head of Business Management, Client Development UK & ME with implementing and maintaining governance procedures and controls and producing KPIs.

Contribute to and participate in global and local projects on behalf of Client Development as and when required

Knowledge, Skill and Experience

Essential

· High attention to detail and a strong commitment to quality control

· Self-starter with the ability to work on own initiative. Self-motivated and disciplined

· Able to manage priorities, plan own workload and meet strict and competing deadlines

· Able to cope with repetitive tasks, and work on multiple assignments, while maintaining accuracy and producing

high-quality work

· Ability to challenge the status quo and identify areas of improvement

· Effective communicator

· Has a collaborative approach, supports colleagues and team members.

· Excellent writing and reporting skills. Proficient in PowerPoint and Excel.

Desirable:

· Advanced Excel skills, ability to manipulate large amounts of data accurately. Pivot tables are essential.

· Experience of working with client facing teams, ideally within Securities Services.

· Experience of working with KYC and due diligence processes, or carrying out L1 controls.

· An understanding of the risks relating the Client Development environment.

· Knowledge of Securities Services.

· Project Management skills

Guidant, Carbon60, Lorien & SRG - The Impellam Group Portfolio are acting as an Employment Business in relation to this vacancy.