Compliance Associate at Onyx Capital Group (2026-05 – Present)
Lead all Financial Crime and KYC activities across the business, independently managing end-to-end client onboarding while acting as the primary point of contact for traders, brokers and key stakeholders. Alongside core KYC responsibilities, oversee regulatory reporting and surveillance activities, ensuring compliance with internal policies and regulatory obligations.
- Independently manage the end-to-end onboarding lifecycle for clients, acting as the primary contact for all KYC and Financial Crime matters.
- Perform CDD, EDD, sanctions screening and client risk assessments across the full KYC lifecycle.
- Produce daily ICE and CME regulatory reporting and perform MiFIR trade reporting.
- Conduct transaction surveillance and monitoring, escalating suspicious activity where appropriate.
- Partner with Front Office, Compliance and Operations to resolve onboarding issues and facilitate efficient client go-lives.
- Performed transaction and MiFIR trade reporting, ensuring accurate and timely regulatory submissions.
- Worked closely with Front Office, Compliance and Operations to resolve onboarding and regulatory issues efficiently.
KYC Associate at SMBC Bank International PLC (2024-01 – 2026-05)
Apart of a team of 10 situated in the second line of defence (2LoD) of whom conduct all onboards for SMBC Bank, covering all London Branches, Brussels and Paris respectively. Despite being 2LoD, communicated with ED's, MD's, FO & Clients on a weekly basis with plenty of exposure communicating with senior stakeholders.
- Manage 10–15 medium-high-risk client onboarding cases per week, ensuring compliance with AML regulations and internal policies.
- Client types include: funds, institutional, corporate, high-net worth clients, trusts; pension, foundation & unit and appointed managed funds.
- Maintain and update the EIC database (a database that stores every client of SMBC), ensuring every client record comprises the most up-to-date information (critical info is commonly left out by other analysts).
- In many cases the EIC record will not align with the onboarded record in onboarding tool known by 'ACCORD' – in such events, required to chase front office and the respective analysts to align said records; ensuring accuracy and completeness of client information.
- Collaborate with front office (including MD's), compliance teams & clients to streamline processes, improving efficiency in risk assessments of prospective & existing clients.
- Conduct Enhanced Due Diligence (EDD) on complex client structures, including Private Equity, Aircraft, and Loan deals.
- Ensure adherence to FATF, FCA, and other global regulatory standards in all due diligence processes.
- Other regulations include; MiFID
KYC Analyst at Federated Hermes (2023-03 – 2023-12)
- Periodically re-wrote the firms Negative News & Sanctions Screening procedures on the back of Audit and Regulatory developments; as well as, to align with software updates. Upon review by the MLRO they were put into effect.
- Performed KYC onboarding and periodic reviews for Private Equity and Direct Lending clients.
- Conducted sanctions, PEP, and adverse media screening using Refinitiv.
- Assisted in identifying weaknesses within existing compliance frameworks and proposed improvements to senior stakeholders.
- Supported audit and regulatory requirements through robust file reviews and documentation.
- Utilised Salesforce and Refinitiv to produce Management Information (MI) reports.
