Compliance Analyst

About this role

Company Description

Optiva Securities is a specialist broker dedicated to supporting high-growth small cap companies in achieving their corporate objectives. The firm manages investment portfolios for high net worth clients, aiming to outperform standard benchmark indices through a focus on growth-oriented businesses. The company emphasizes a personal, client-centered approach, tailoring strategies to individual needs while maintaining a dynamic and performance-driven culture.

Job Description

Support the end-to-end AML and KYC onboarding process, including client due diligence, verification of documentation, screening and ongoing monitoring, while maintaining accurate records and assisting with broader compliance requirements where needed.

Key responsibilities

• CDD/KYC for individuals/entities; assess UBOs, SoF/SoW; SmartSearch a plus.
• Sanctions/PEP/adverse media screening; investigate and escalate to MLRO.
• Risk assessments, EDD, periodic/trigger reviews; maintain files, logs, MI.
• Compliance monitoring: testing, reporting, tracking actions; Consumer Duty MI.
• Employee compliance (PA dealing, gifts, conflicts, OBIs, attestations); maintain registers and SM&CR records.
• Assist regulatory returns/requests; help update policies/procedures/training.

Essential

• 2–3 years AML/KYC/onboarding or compliance in FCA‑regulated (or similar) environment.
• Hands‑on CDD/KYC incl. EDD, SoF/SoW; screening (sanctions/PEP/adverse media).
• Applicants must have the legal right to work in the UK and be able to provide appropriate evidence of their eligibility.
• Educated to degree level or equivalent.
• Relevant AML / financial crime qualification
• Must have the legal right to work in the UK, including a valid and current UK work visa where applicable.

Desirable

• Experience within an investment firm, stockbroker, corporate broker, wealth manager, asset manager or capital markets business.
• Experience of compliance monitoring or file-review testing.
• Familiarity with the FCA Handbook, including the Principles for Businesses, SYSC, COBS and Consumer Duty requirements.
• Knowledge of the Senior Managers and Certification Regime.

If interested in the role, please submit your CV to jobs@optivasecurities.com. Applications will close on the 23rd of September.

No Agencies.

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