- Undertaking financial crime monitoring and thematic reviews, involving: interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business, ensuring the focus on the quality of review documents and outputs, highlighting the 'so what' factor.
- Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication and escalating any risks of overdue actions ahead of time.
- Assisting with the identification, gathering and production of Management Information, Reporting Information and Financial Crime Risk Assessments.
- Investigating allegations of financial crime issues, analysing all information available, undertaking root cause analysis, summarising findings, recommending and taking necessary action. Ensuring investigation work is thoroughly documented and completed in a timely manner.
- Carrying out Politically Exposed Persons (PEPs), sanctions and adverse media screening and alert elimination, in accordance with the risk-based approach.
- Undertaking enhanced due diligence for high-risk clients, including PEPs, and transactions.
- Carrying out routine monitoring of high-risk business in accordance with the risk-based approach, including PEPs.
- Transaction monitoring, including the setting of parameters, investigating matches, and reviewing the parameters on a periodic basis.
- Dealing with queries on AML client concessions where clients are unable to provide standard ID or pass EIDV. Maintain MI on AML concessions.
- Assisting with financial crime reporting and data as required by the Group Financial Crime team.
- Assisting with 3rd party due diligence questionnaires and 3rd party supplier management referrals.
- Identifying opportunities for improvement to financial crime prevention practices, investigation processes, and making recommendations for change to the MLRO.
- Building and maintaining relationships with other colleagues in industry, to promote networking and the sharing of best practice.
- Promoting the importance of robust financial crime controls, in order to meet legal and regulatory obligations.
- a good level of understanding and experience of Financial Crime legislation and regulation: AML/CTF; Sanctions; Anti-Bribery and Corruption; and Fraud, from a financial services company
- experience in financial crime monitoring;
- strong attention to detail, and the ability to see the bigger picture.
- planning, analytical and communications (both verbal and written) skills are essential.
- high energy and drive and be delivery focused, and the ability to work well on your own or within a team.
Financial Crime Analyst- Monitoring - Southampton, United Kingdom - Quilter
Description
What the Hiring Manager Says
This role will perform financial crime monitoring and thematic review activity across Quilter, alongside investigations activity. The role will report into Head of Financial Crime Investigations and will operate flexibly depending on financial crime plan and resourcing requirements.About the Role
Level : 3
Department: Risk
Location : Southampton, England /London, England
Contract type : Permanent
You will undertake a wide range of Financial Crime tasks, involving:
About You
Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.
You will have:
The ideal candidate would have relevant qualifications in financial crime or be willing to work towards these in future.
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Core Benefits
Holiday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
Private Medical Insurance: Single cover as standard, cover can be increased at your own cost
Life Assurance: 4x your salary, cover can be increased at your own cost
Income Protection: 75% of salary payable after 26 weeks of absence
In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.