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Financial Crime Associate

up to £70,000 - City of London

OVERVIEW:

Working with the Head of Financial Crime to identify anti-money laundering (‘AML’), anti-terrorist financing (‘ATF’), anti-bribery and corruption (‘ABAC’) regulatory and compliance obligations in Europe and the Asia-Pacific region – with a specific mandate for the UK, though, working seamlessly as part of a regional team, ensure consistent AML, ATF & ABAC standards across Europe.

 Key responsibilities are:

  • Providing AML, ATF, ABAC advice on business initiatives;
  • Taking the lead on and/or participating in global and/or UK GAML initiatives;
  • Taking the lead on and/or participating in global and/or UK drafting and issuing of GAML policies and procedures;
  • Taking the lead on and/or participating in GAML training;
  • Oversee the tracking and review of AML, ATF, ABAC regulatory change & assist with implementation;  
  • Oversee AML, ATF, ABAC risk assessments;
  • Oversee/perform the AML, ATF, ABAC monitoring programme;
  • Oversee Gifts and Entertainment pre-approval & monitoring process;
  • Oversee the review of the AML, ATF, ABAC reporting provided by Head Office as part of our oversight of controls performed for the region (e.g. Transaction Monitoring & Sanction Screening);
  • Approval of high risk customers for the region;
  • Perform Enhanced due diligence reviews on high risk customer files for the UK business; and
  • Deputies on behalf of the manger on internal and industry trade association 

 

Main duties will include but are not restricted to: 

  • Provision of AML, ATF, ABAC regulatory advice to the business on both ad hoc queries and formal change management requests.  This role entails having a solid appreciation of AML, ATF, ABAC regulatory risks;
  • Oversee the review of AML, ATF, ABAC regulatory developments with actions logged and tracked.
  • Identifying and execution of a GAML training programme, to include new hires and annual refresher training, but also other formal and informal training on topical matters, influenced by, for example, AML, ATF, ABAC regulatory change and relevant internal assessments.
  • Provision of GAML input to key projects/initiatives;
  • Close liaison with other Financial Crime departments globally.
  • Perform sundry duties, projects and such other responsibilities as assigned by the manager.

 

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occassion.

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

Financial Crime Manager

£70,000 - £85,000 - City of London

OVERVIEW:

The Financial Crime Advisory Manager has oversight responsibilities for areas including anti-money laundering (‘AML'), counter terrorist-financing (‘CTF'), fraud, bribery, sanctions, PEPs and high risk clients.

 The Financial Crime Advisory manager will work in the Financial Crime team delivering Financial Crime technical compliance advice, covering all CIB business areas on financial crime regulatory compliance and industry issues, to promote CIB compliance with Group Policy and UK regulatory requirements (i.e. regarding AML, Sanctions and other financial crime risk).

• Supporting and assisting senior management in adherence to applicable laws and regulations as well as to high standards of business and ethical integrity
• Risk assessment for high risk escalations, including coverage of Money Laundering, Sanctions, Bribery, corruption and internal failings. 
• Interpreting and advising London staff on applicable policy, laws, regulations and standards.
• Providing training to staff on relevant policy, law, regulation and standards 
• Monitoring and reporting 
• Investigating and reporting on any suspected breaches of such policy, laws, regulations and standards
• Lead and co-ordinate FC review of new/emerging financial crime policy and procedure
• Ensure appropriate review of Politically Exposed Person (‘PEP') and other higher-risk client or transaction referrals
• Support Advisory Team's review of contract and deal specific documentation, to manage financial crime risk
• Represent FC Advisory team in Client Acceptance Committees and other internal forums related to higher-risk clients, products and risk in the operating/business environment.

AML Advisory:
• Ensure AML advice is consistent across the bank 
• Review policy and procedure
• Group Anti-Bribery Policy and UK Bribery Act requirements, ensuring that UK Anti-Bribery Policy is maintained in accordance with UK law and Group Policy
• Prepare written guidance and other papers to support identification and response to financial crime risk

Additional required experience
• Proven experience in a financial crime environment, with clearly demonstrable Team Leader/Assistant Manager level experience covering drafting of policy and procedures relevant to AML, Financial Sanctions, Fraud and anti-bribery systems and controls in a UK FCA regulated firm (preferably wholesale environment).
• Strong track record in assessing AML risk/cases and making (and documenting) informed decisions to mitigate AML risk / escalate accordingly.
• Good working knowledge of UK, EU and US sanctions regimes.
• Broad understanding of AML risk issues in CIB environment, covering IB product, intra-jurisdictional AML and sanctions risk, and client risk; and a proficient understanding of other financial crime risk, such as, bribery and fraud is preferable.
• Detailed knowledge of UK regulatory environment for financial crime is essential, as is, having a deep awareness of guidance issued by Joint Money Laundering Steering Group.

 

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.

 

 

 

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

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