Quality Control Analyst

marex

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Senior 🇬🇧 English

AML systems sanctions screening tools KYC workflow platforms

Descrição do cargo

About the role

The Quality Control Analyst conducts independent reviews of KYC onboarding and periodic review files to ensure compliance with global and US KYC standards, regulatory requirements, and internal Financial Crime controls.

Key responsibilities

Perform QC reviews of onboarding, periodic and event‑driven review files, validating documentation, risk ratings, screening results and approvals.
Identify control gaps, documentation deficiencies and remediation opportunities, and provide coaching to analysts.
Oversee CDD, EDD and periodic reviews, confirming beneficial ownership and customer classifications.
Ensure compliance with AML, KYC, sanctions, CFTC, NFA, FINRA, FinCEN and local regulations, supporting audits and examinations.

Required profile

4–7+ years of KYC/AML experience, preferably in an FCM, broker‑dealer or similar regulated environment.
Strong knowledge of CFTC/NFA/Brazilian rules and entity structures such as trusts, SPVs, funds and foreign corporates.
Ability to work in a fast‑paced, high‑volume environment and coach junior analysts.

Required skills

Experience with AML systems, sanctions screening tools and KYC workflow platforms.
Familiarity with PeopleSoft and other client data configuration systems.

Questions fréquentes

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Publicado há 3 horas

Expira em 1 mês

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