Our client is a rapidly growing electronic brokerage firm based in the City.
Assist with the end-to-end investigations’ lifecycle – assess investigation triggers, place and remove restrictions, and manage investigations, SAR submissions, and off-boarding:
Conduct forensic reviews of cashiering data to detect and address suspicious transactions, patterns and activity;
Conduct investigations using publicly available sources and in-house tools to identify adverse media, connections and other information required to build client profiles;
Make recommendations on filing required or voluntary SARs, as well as on further action required, including whether exiting or retaining client relationships.
Become proficient with the firm’s case management tool, to ensure all monitoring and reporting activities are effectively documented in compliance with internal standards and regulatory expectations
Document concise and consistent risk-based rationale for alert/investigation conclusions in line with internal and regulatory requirements
Perform work within the established timeframes and meet standards for Quality Assurance and Key Performance Indicator benchmarks
Assist in responding to queries/addressing escalations received from the 1LOD; and,
Assists in the development and implementation of work paper templates, documentation standards, and processes for knowledge sharing across regional teams.
Where required, assist Management in responding to external requests for information resulting from NCA activities. Action court orders and manage liaisons with regulatory, enforcement, or judiciary bodies;
Communicating, and working closely, with regional partners, and business stakeholders to enable effective exchange of information needed to facilitate a consistent risk-based approach across multiple markets and operating entities;
Support the approval process for large withdrawals and other high-risk transactions;
Carry out any other ad-hoc tasks or additional AML responsibility at the request of the MLRO/Deputy MLRO/Head of FIU.
Knowledge of POCA, JMLSG, EU Money Laundering Directives, Sanctions regulations, and the key FCA principles for businesses;
Strong analytical skills, able to manipulate data, produce MI, and write reports;
Excellent oral and written communication skills;
Ability to work flexible hours;
Must have ability to work and thrive in a fast-paced medium-size office environment.
For further information please contact Hannah Tabatabai