Client Due Diligence CDD Analyst

Client Due Diligence CDD Analyst

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The primary function of this role is to conduct CDD (Client Due Diligence) and EDD (Enhanced Due Diligence) on new counterparties. Ensuring the process is performed accurately, timely and in line with company policy.

The CDD analyst should ensure that CDD information held on existing counterparties is refreshed on a risk-based basis to be up to date and accurate.

Core Activities

• Receive Client Due Diligence requests from the Head of Client Due Diligence and review the requirements

• Perform Client Due Diligence on new and existing counterparties and enhanced due diligence where applicable

• Undertake sanction and PEP screening on new and existing clients to determine if there are any PEPs/Sanction/AML risks

• Apply categorization to new counterparties and review existing categorizations under local regulatory requirements

• Obtain background information on clients through on-line research and other relevant sources

• Liaise with Front Office staff and directly with clients when necessary to obtain any outstanding Client Due Diligence documentation

• Review Client Due Diligence information held on existing clients to identify shortfalls and obtain missing documentation

• Record account status and approval information in the appropriate databases/spreadsheets

• Update the PEP register and complete PEP forms and ensure all PEP relations are approved by the MLRO and relevant Quality Assurance member of team

• File/scan Client Due Diligence information

• Be alert to conduct and reputational risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviors across the firm

Key contacts/working relationships

• Work closely with colleagues across BGC Compliance and where necessary liaise with the BGC MLRO & Deputy MLRO

• Work closely and in a timely manner with the Front Office to obtain information required to complete the Client Due Diligence process

Other

• Act as subject matter expert in all Client Due Diligence issues

• Take on roles and responsibilities as required by the Head of Client Due Diligence to ensure the successful operation of the Client Due Diligence Team 

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