Executive, KYC Operations

Role Purpose The KYC Operations Executive is responsible for executing essential Anti-Money Laundering (AML) and Know Your Customer (KYC) procedures. This role focuses on the end-to-end lifecycle of client due diligence—from initial onboarding and screening to periodic reviews and trigger event investigations—ensuring the firm remains compliant with global regulatory standards and internal risk appetites.

Key Responsibilities

Alert Management & Investigation

Timely Response: Monitor and respond to compliance alerts within a designated area, ensuring all queries are addressed according to established timelines.
Complex Research: Conduct deep-dive investigations to distinguish between “false positives” and actual matches on global sanctions, PEP, and AML watchlists.
Escalation & Closure: Accurately document unresolved queries for senior support and ensure the formal closure of all investigated alerts.

Client Due Diligence (CDD) & Monitoring

Onboarding & Reviews: Perform comprehensive data gathering and analysis for new client onboarding and scheduled periodic reviews.
Trigger Event Analysis: Review and investigate significant changes in client profiles (trigger events), gathering additional supporting documentation where necessary.
Screening Oversight: Undertake consistent AML, Sanction, and Politically Exposed Person (PEP) screening in alignment with global compliance strategies.

Reporting & Documentation

Technical Analysis: Thoroughly detail research findings regarding financial activities and related entities for an audience that includes Legal, Internal Compliance, Regulators, and Senior Management.
Record Keeping: Maintain accurate compliance databases and suggest control improvements to ensure ongoing alignment with evolving regulations.
Quality Control: Perform rigorous Quality Control (QC) checks on KYC/AML files to maintain high documentation standards.

Stakeholder Engagement

Cross-Functional Liaison: Present findings to internal partners, including Front Office Account Managers, during onboarding, review, and offboarding processes.
Internal Communication: Maintain open channels with the broader business to ensure material financial crime risks are raised and addressed promptly.
Team Support: Provide peer-level support for AML checks and operational risk management.

Preferred Skills & Experience

Education: Bachelor’s degree in Law, Business Administration, or a related field (or equivalent professional experience).
Experience: * Minimum of 2+ years of dedicated experience in KYC/AML operations.
- Experience in financial crime prevention or detection within Financial Services or Asset Management is highly preferred.
Technical Knowledge:
- Strong understanding of Legal Corporate Entities and complex corporate group structures.
- Sound knowledge of Sanctions/PEP screening systems and transaction monitoring tools.
- Clear perception of AML Risk-Based Approach (RBA) concepts.
Core Competencies:
- Data Synthesis: Proven ability to source data from multiple systems and transfer information with high accuracy.
- Analytical Curiosity: A genuine interest in financial crime matters and investigative research.
- Risk Awareness: A strong personal commitment to maintaining operational and regulatory risk compliance.

More information

Job Location : Colombo, Sri Lanka
City : Colombo
Company Name : London Stock Exchange Group (LSEG)

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