Compliance, Financial Crime and Risk

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Financial Crime Compliance Officer / AVP

Salary: up to £70k - London


I’m looking for a bright mind to join a key client of mine based in the City of London. They’re a full scope investment firm that is regulated and authorised by the UK Financial Conduct Authority ('FCA').

As an overview, it’s financial crime unit covers several compliance disciplines and has responsibility for governance, oversight and execution of the firm's AML, economic sanctions, anti‐fraud, anti‐bribery and anti‐corruption. It develops appropriate policies, procedures, including those designed to assist the business to know their customers and conduct appropriate due diligence to prevent, detect, and report potential suspicious activity.


Key Job Functions:

The key job function is providing sound regulatory and practical advice on all matters relating to financial crime prevention, including, but not limited to, assessing the requirements and controls for countering financial crime; planning, implementing and reviewing policies and procedures to counter financial crime, as well as reviewing alerts, conducting research, finding suspicious activity, drafting and filing reports.


Responsibility and Authority:

The major activities which comprise the job are:

  • Maintaining high standards in delivering key job function;
  • Owning tasks and leading through to completion;
  • Maintaining lists and logs;
  • Answerable for correct and thorough completion of his/her individual task and deliverable

The team consists of seven full‐time employees, including the Head of Financial Crime Compliance/Deputy MLRO.


Specific Experience and Qualifications:

  • Strong knowledge of financial crime compliance regulations in the UK;
  • Meticulous attention to detail;
  • Previous experience of providing staff with constructive feedback;
  • Have the ability to effectively handle a fast paced environment and work to tight deadlines; be able to re‐prioritise work in response to changes in business needs, without compromising standards;
  • Be able to recognise and escalate risks and issues appropriately;
  • Strong understanding of risk factors associated with business relationships and capital markets products.
  • Strong understanding outcomes and success criteria of customer due diligence;
  • Experience in unfolding diverse complicated corporate structures;
  • Good understanding of sanctions regimes;
  • Strong understanding impact of adverse media and PEP/RCA exposure on counterparty risk profile;
  • Strong communication skills adopting the style and approach to the audience and message to be delivered;
  • Quick learning and strong understanding of policies, procedures, systems, processes of SMBB Nikko Capital Markets Ltd;
  • Achievement orientation ‐ focusing efforts on achieving high quality results consistent with the organisational standards;
  • Fast learner and ability to apply new skills effectively.


Key Skills & Abilities:

  • Degree educated or equivalent
  • At least 5 years’ experience of AML/Financial Crime Compliance in a securities house, broker dealer and/or wholesale banking
  • Understanding of capital markets products and services

Additional skills required:

  • Strong analytical thinking and critical reasoning skills;
  • Possess the ability to research and resolve issues independently while working across teams to acquire information;
  • Excellent verbal and written communication skills;
  • Strong technical skills as well as interpersonal and organisational skills;
  • Ability to work independently and as part of a team;
  • Highly articulate and able to apply new skills effectively;
  • Able to multi‐task and prioritise multiple projects;
  • Able to build relationships and have good rapport with stakeholders.


For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

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