My client is a well regarded Brokerage firm. They have gone through a period of change in the last year and are now looking to enhance their Financial Crime team.
The Financial Crime Compliance Officer provides additional dedicated Financial Crime resource within the Compliance team. They deal with all aspects of financial crime
prevention for our swiftly growing brokerage business.
Assisting with the day-to-day financial crime prevention effort, including but not limited to – AML, CTF, KYC, ABC, Sanctions and Fraud.
Providing Financial Crime guidance and support to the front office.
Delivering on items on the Financial Crime implementation plan and roadmap.
Conducting Financial Crime quality assurance and monitoring programs.
Conducting high risk client reviews, and EDD investigations.
Assisting the Head of Financial Crime in completion of Financial Crime management information and ad-hoc reports.
Assisting with Financial Crime investigations and escalations.
Liaising with on-boarding and providing support and guidance when required.
Assisting with extracting and interrogating data to complete annual Financial Crime reviews.
Working closely with the documentation team to address issues and concerns and provide advice and guidance when required.
Assisting with the implementation and development of Financial Crime and Compliance training needs analysis.
Reporting and escalating non-compliance with applicable policies, i.e. to the Head of Financial Crime and Head of Compliance & MLRO as appropriate.
Working alongside the Compliance Team to ensure on-going development and maintenance of an effective Compliance function, taking an active part in team meetings, and participating in business planning.
Educated to degree level, or equivalent, preferred
Experience of working in a dedicated financial crime compliance role
Good working knowledge of Financial Crime regulation and legislation.
Excellent report writing and other communication skills
For more information, please contact Duncan Jeffery on 0207 588 3322