Compliance Operations Analyst (KYC, KYB, AML)

A Compliance Operations Analyst at Pluto is responsible for managing KYC, KYB, and RFI processes to ensure compliance with regulatory standards. This entails conducting thorough due diligence, analyzing customer and business documentation, organizing compliance-related data, and preparing reports on compliance activities. The role is crucial for maintaining the highest compliance standards in a fast-growing fintech environment.

To be a successful candidate for the Compliance Operations Analyst position at Pluto, you should have a minimum of 3 years of experience in a compliance role, preferably within the fintech sector. A strong understanding of KYC, KYB, and RFI regulations is essential, along with proficiency in compliance software, excellent analytical skills, and strong communication abilities.

The work culture at Pluto is dynamic and collaborative, emphasizing innovation and teamwork. As a Compliance Operations Analyst, you'll have the opportunity to work closely with various departments to ensure cohesive compliance onboarding processes, contributing to a friendly yet productive environment that values each team member's input.

Yes, Pluto offers a remote-friendly workplace for the Compliance Operations Analyst position. This flexibility allows team members to create a work-life balance while remaining fully engaged with their responsibilities and team collaboration.

Pluto is dedicated to fostering the professional development of its team members. As a Compliance Operations Analyst, you will not only gain experience in a cutting-edge fintech environment but also have the opportunity to work with top-tier professionals, participate in training opportunities, and contribute to the development of compliance policies that can enhance your skill set and career trajectory.

When answering this question, explain your systematic approach, such as gathering customer identification documents, cross-referencing against databases for risk assessment, and verifying information to provide a holistic view of the customer’s identity.

Discuss the importance of reviewing business registration details, analyzing financial statements, and understanding beneficial ownership structures, while emphasizing how you maintain accurate records and strict adherence to compliance benchmarks.

In your response, outline your strategy for collecting necessary data efficiently, organizing it systematically, and ensuring timely and accurate responses to comply with regulatory requests, showcasing your attention to detail.

Talk about your proactive communication style, your ability to provide clear guidelines, and how you support clients in navigating compliance processes, ensuring they feel informed and valued throughout their onboarding journey.

Be prepared to mention specific compliance software you've used. Discuss your proficiency with these tools, how they assist you in keeping up with regulations, and your adaptability in learning new platforms as needed.

Highlight examples of past experiences where collaboration with various departments was necessary to achieve compliance goals, focusing on communication, project management skills, and your ability to foster teamwork.

Explain the strategies you employ to keep informed, such as attending webinars, reading industry publications, and participating in professional forums or networks, demonstrating your commitment to remaining proactive in your compliance knowledge.

Detail your process for addressing compliance issues, which may include conducting thorough investigations, documenting findings, collaborating with relevant stakeholders, and implementing corrective actions while ensuring that communication is transparent and timely.

Share a specific incident, emphasizing your analytical skills in identifying the root cause of the issue, the steps you took to resolve it, and the positive outcome achieved, showcasing your problem-solving abilities.

Discuss how you gather and analyze compliance data, structure reports for clarity, and ensure that findings are actionable and insightful, demonstrating your analytical skills and attention to detail in your reporting.