Compliance Manager, AML & Sanctions – 12 month FTC

THE COMPANY:

Our client is a leading global Brokerage firm based in the City.  They are looking for a Compliance Manager to support the Compliance function in the design, implementation and maintenance of a risk-based compliance framework.

THE RESPONSIBILITIES:

Compliance Oversight and Advisory:

• Provide advice, guidance and objective challenge to the business/ 1st Line on the management of financial crime (mainly AML/CTF/CPF) and Sanctions risks.
• Review, challenge and provide 2nd Line oversight of high-risk client onboarding and periodic reviews submitted by the 1st Line.
• Provide 2nd Line analysis and expert assessment of complex sanctions cases, including interpretation and application of UK, EU and US sanctions regimes, and recommendations on the appropriate course of action.
• Undertake compliance monitoring activities in line with the Compliance Plan.
• Collaborate with senior managers overseeing AML, CTF, CPF, sanctions, and fraud risks.
• Ensure the AML and Sanctions Compliance framework is robust, effective and appropriately embedded across the organisation.
• Support policy, procedures and process updates for new regulations and help enhance control frameworks as needed.
• Produce management information and reporting on the effectiveness of compliance risk management.
• Oversee projects to  ensure alignment with AML and Sanctions policies and procedures, while reinforcing compliance and ethical standards across EUI.

Committees and Governance:

• Attend committees and forums, providing independent 2nd Line Compliance oversight and challenge to 1st Line activities and committee papers.
• Prepare committee papers and updates where necessary.

Business Partnership:

• Act as a trusted advisor to the business while maintaining independent 2nd Line oversight.
• Provide compliance review and challenge of 1st Line activities and committee papers.
• Maintain effective working relationships across the three lines of defence to support a strong internal control environment and clear risk ownership.

Policies, Procedures and Training:

• Review and provide feedback on policies, procedures, frameworks and systems relating to compliance risk management and reporting.
• Draft compliance policies and procedures where required.
• Prepare and deliver compliance training and maintain training records.

Group and Regulatory Engagement:

• Support effective liaison with the ESA Conduct & Ethics Division and other Group Compliance teams.

EXPERIENCE REQUIRED:

• Relevant experience in compliance, 2nd Line risk oversight or regulatory advisory roles, ideally within a financial market infrastructure, large financial services firm or regulatory authority.
• Detailed knowledge of Bank of England, PRA and FCA requirements.
• Extensive technical knowledge of Financial Crime regulatory requirements
• AML/ CTF/ CPF regulatory frameworks Regulatory and Stakeholder Engagement
• Ability to engage credibly with senior internal and external stakeholders.

For further information please contact Hannah Tabatabai