Our client is a boutique investment firm, offering services including wealth management and planning along with corporate advisory/ broking activities
THE RESPONSIBILITIES:
Establish, manage and implement financial crime-related frameworks, policies and processes and standards across the organisation
Support the MLRO in day-to-day activities of the firm’s financial crime framework, leading the financial crime risk assessment programme
Horizon scanning and SME on existing and emerging AML, Sanctions, Fraud, CTF and other relevant legislation, guidance and best practice
Collaborate with internal stakeholders to ensure a uniform approach to financial crime compliance
Provide guidance and support to business units on financial crime matters, acting as firm’s financial crime subject matter expert
Oversee and assist in review and approvals of new business relationships, transaction monitoring, and investigation of monitoring alerts
Oversee and assist in preparation of financial crime MI that feeds into governance forums
Led investigations and prepare SARs, STORs and other regulatory body reporting
Support and develop growth within the compliance team to build knowledge and enhance existing working practices.
Act in accordance with Consumer Duty Rules
Complete any professional qualifications which are a requirement for your role
To demonstrate commitment to pro-actively deliver good outcomes for customers and put customers’ interests at the heart of business activities.
Maintain the overall standard the FCA expects firms to adhere to.
Abide by the FCA Individual Conduct rules.
Complete any training assigned by the company
Complete any professional qualifications which are a requirement for your role
EXPERIENCE REQUIRED:
Strong knowledge of financial crime gained from a stockbroking, retail or wealth management
Strong experience of financial crime software / technology in order to support development, implementation and effective use of operational systems from a financial crime angle
Previous experience designing and implementing regulatory frameworks desirable
Strong execution skills and an ability to remain resilient under pressure
Ability to clearly and concisely communicate in writing and verbally
Strong stakeholder management & relationship building skills
For further information please contact Natalie Eshelby
