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    Financial Crime Manager - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    1 week ago

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    Description

    Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture they are an excellent employer.

    THE RESPONSIBILITIES:

    • Managing large data sets to ensure required reports and controls can be effectively run on a regular and ad hoc basis
    • Assessing data quality to ensure accuracy and integrity
    • Executing and leading the development and embedding of financial crime controls, including, procedures, systems, and user manuals
    • Assessing, enhancing and streamlining reporting framework on an ongoing basis
    • Supporting the wider function in the management of third-party reviews/recommendations providing timely and high-quality responses
    • Partnering with internal and external departments within the overall umbrella of Financial Crime Operations, leading end-to-end business analysis and change management activities
    • Interpreting and documenting business requirements, producing deliverables for all change phases whilst identifying and communicating any constraints or limitations
    • Driving strategic direction for activities, in the form of principles, guidance, or approach, as required
    • Upholding and advancing all programme/project governance processes, as required
    • Providing regular progress updates for any standalone initiatives, where responsible
    • Reviewing the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB), source of wealth and funds, client information, client profiling and suitability during the account opening process.
    • Providing the business with advice and guidance on all relevant regulatory/AML obligations and requirements
    • Working with the business to ensure that the firm establishes and maintains appropriate financial crime policies, procedures, systems and controls
    • Monitoring all aspects of the business to identify actual or potential weaknesses of internal controls and advising on remedial action that may be taken by line management
    • To undertake theme, work to assess the firms' regulatory exposure and make recommendations to the business to ensure Compliance Providing support to line management in its liaison with regulators, auditors (internal & external) other group companies and external organisations where appropriate
    • Provide Financial Crime education, awareness and training to the business as required.
    • Supporting the Head of Financial Crime/MLRO
    • Develop and strengthen relationships to promote best practice and ensure a good understanding of Financial Crime and regulatory requirements.
    • Oversee process for customer screening including sanctions, PEPs and adverse media screening, escalating any true matches to the MLRO and performing quality assurance work as required
    • Assist with managing and developing key financial crime themed projects
    • Assist with developing and producing management information reports for the Board or Financial Crime Committee
    • Manage the Client On-Boarding Team (COBT) and escalate issues as appropriate to Head of Financial Crime and MLRO
    • Oversee process for on-going due diligence high risk accounts
    • Handling of all escalated transactions, including research, report writing, approval and transmission
    • Implement and action on-going monitoring policy
    • Oversee the control environment for both fraud and bribery and corruption
    • Undertake any ad-hoc AML/TF/fraud reporting, risk assessments as required
    • Other ad-hoc duties compliance and FCT duties as and when required

    EXPERIENCE REQUIRED:

    • Experience in the commodities or capital markets industry
    • Experience as a financial crime manager or similar level role in the regulated sector
    • Experience in operational management and promoting and implementing continuous improvements
    • Detailed knowledge of the 2019 Money Laundering Regulation
    • Experience or working within governance frameworks and processes
    • Previous experience with SQL and data analysis
    • Understanding of expression building for business objects – predominantly for the cloud based application Docuware (electronic document management system)
    • VBA equipped or at the minimum advanced user of Microsoft Excel and Microsoft Access
    • Understanding and applied knowledge of client lifecycle management – technology and solutions

    For further information please contact Hannah Tabatabai

    Up to £90,000 pa depending on experience

    #J-18808-Ljbffr
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