Senior Process Specialist-AML/KYC Full Time

EPIC Investment Partners

About Us

EPIC Investment Partners (“EPIC”) is a global financial services platform with 250 people across four integrated divisions Capital, Markets, Administration and Advisory.

EPIC was founded in 2001 by Giles Brand and Hiren Patel, financial services entrepreneurs with backgrounds in private equity. Business building is at the heart of everything we do. We understand the commercial drivers of success and how to support them by allocating capital actively and appropriately. We put our clients first at all times.

Our integrated approach supports corporates, entrepreneurs, and investors by providing access to capital, advice, and administration services across our four divisions:

• Capital: patient and flexible private capital encompassing early-stage investing, private equity and SPACs. £1300 million assets under management (“AuM”).

• Markets: fund management platform with £250 million AuM across Equities, Fixed Income, Multi Asset and Managed Futures strategies.

• Administration: full-service outsourced administration platform encompassing Fund Services, Corporate Services and Legal Advertising and Public Notice services. £3 billion assets under administration.

• Advisory: discrete and independent advice to corporates, families and institutions on large and small transactions ranging from £25 million to £1 billion in value.

We believe in the enduring tradition of providing independent and discrete finance and counsel to businesses and the people who create them.

This is augmented by a future facing mindset embracing technology and innovation to offer our clients an intelligent and dynamic merchant banking model for the twenty-first century.

We are a client-centred, collegiate team for whom intellectual integrity and honest, considered decision making are the guiding principles.

Our Values

Our Values are at the heart of our activities and are designed to give our clients the same experience across all divisions, products, and locations.

• Clients First: We place clients first and commit to delivering excellent service and outcomes across all our activities. We are calm and focused under pressure, balancing long-term outcomes with short-term needs and seek to deliver on commitments with a sense of urgency.

• Intellectual Integrity: Intellectual integrity is our true north and forms the nexus of our Values and Investment Principles. Our intellectual integrity means that EPIC is continually searching for the best talent, ideas, and opportunities for our clients. This has allowed EPIC to become a home for people, teams, and organisations who both share and help shape its worldview.

• Collegiate: our teams are collegiate, with co-operation and collaboration central to our approach. We seek to foster collaboration across our divisions, to unlock the opportunities of the interconnections across our broad platform.

Role Profile: Senior Process Specialist – KYC Team

We are looking for a Senior Process Specialist team to support our KYC function, who will contribute to the business’s success by handling international accounts. The incumbent is expected to be a self- starter, who can work with minimal supervision, and will be working in a dynamic, fast- paced environment.

Reporting to the XXXXXX, the Senior Process Specialist will have responsibility for the following key areas:

Role description and responsibility overview.

Undertaking Collation and Review of CDD Provided: Collect and review Customer Due Diligence (CDD) documents provided by clients or customers, ensuring completeness, accuracy, and compliance with regulatory requirements. Identify any gaps or missing information and request additional details as needed.

1. Identifying Where Further Information Is Required: Assess the collected CDD documentation to determine if any further information is needed to complete the KYC process. Liaise with clients or internal stakeholders to gather additional information or clarification as required.
2. Undertaking Periodic Reviews and Risk Assessments: Conduct regular reviews and risk assessments of clients or customers in accordance with their risk profiles. Evaluate changes in their circumstances, business activities, and regulatory requirements to ensure ongoing compliance and risk mitigation.
3. Assisting with Queries from the Business: Provide support to the business by addressing queries related to CDD requirements for ongoing and new business. Offer guidance and clarification on KYC processes, regulatory obligations, and documentation requirements.
4. Enhanced Due Diligence (EDD): Perform in-depth reviews and analysis of high-risk clients or customers, applying EDD procedures to gain a comprehensive understanding of their risk profile and compliance with anti-money laundering (AML) regulations.
5. Documentation and Reporting: Maintain accurate and up-to-date records of KYC documentation, findings, and actions taken. Prepare periodic review reports and risk assessment summaries, highlighting any significant issues or concerns to management or compliance teams.
6. Compliance Adherence: Adhere to KYC policies, procedures, and regulatory requirements, including AML regulations and Know Your Customer (KYC) guidelines. Stay updated on evolving regulations and industry best practices to ensure compliance.
7. Collaboration and Communication: Collaborate with internal teams, such as compliance, legal, and relationship managers, to address KYC-related issues or queries. Communicate effectively with clients and internal stakeholders to obtain necessary information, provide guidance, and clarify any discrepancies.

Candidate profile

• Professional Qualification: MBA
• Education: Business Graduate with Finance Background
• Work Experience: 5-6 years
• Proficiency in English communication.
• Communicates clearly and concisely
• Focused on internal and external client needs
• Calm and focused under pressure
• Delivers on commitments with a sense of urgency
• Works with the utmost integrity, does the right thing
• Structured thinker, anticipates and solves problems
• Builds positive working relationships with energy

• Location / Hours • Noida • Shift timings: 13:30 to 22:00 / 11:30 to 20:00 on a [ Weekly rotating basis].