Customer Due Diligence Analyst
Experienced - BFO
Belfast, Northern Ireland, London, UK
Job Role/ Overview
- Undertaking end to end client and counterparty onboarding and refresh including undertaking all aspects of the CDD process.
- Adhering to applicable internal and regulatory requirements relating to CDD.
- Following the Cowen CDD onboarding and refresh process accurately and efficiently.
- Conducting due diligence at all levels, including enhanced due diligence.
- Identifying ultimate beneficial owners, controllers and PEPs.
- Undertaking adverse media screening.
- Undertaking sanctions screening.
- Escalating concerns and discrepancies in CDD documentation to the appropriate staff.
- Tracking outstanding CDD requests and progressing these on own initiative.
- Observing CDD processing targets in terms of file quality and speed of review.
- Alerting suspicions to the MLRO.
- Ensuring CDD files maintained accurately using internally agreed upon protocols.
- Responsible for checking accounts against compliance guidelines.
- Communicate regularly with managers, traders, sales people, finance, and other designated contacts within the organisation to support the CDD refresh process.
- Perform other duties and responsibilities, as assigned.
- A relevant university degree in Finance, Accounting or Economics or related discipline, or recognised professional or equivalent qualification, or qualified by experience.
- Exhibit Cowen’s Core Values
- Hard working and with the highest standards of personal integrity.
- Ambitious and self-motivated.
- Ability to relate well with others and build relationships.
- Excellent teamwork and ability to collaborate with others
- Ability to work in a fast-paced environment and meet tight deadlines
- Ability to multi-task, to perform effectively under pressure
- Rational and logical approach to problem solving
Cowen is an equal opportunity employer; we do not discriminate on the basis of any protected attribute. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.
Who We Are
As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our corporate, government, and institutional clients choose us for our innovation, execution, and experience.
With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
TD Cowen is a division of TD Securities. As part of TD Securities' broader suite of integrated capital markets products and services, our offering includes investment banking, research, sales and trading, prime brokerage, outsourced trading, and commission management services.
We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Learn more: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/
We consistently deliver differentiated and disruptive insights that help our clients outperform.
We proactively consider and account for the priorities and concerns of our colleagues and clients.
We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time.
We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.
Privacy Notices and Policies | Cowen
Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an @cowen.com or @greenhouse.io email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.