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Ensure the Firm's compliance with applicable Financial Crime legislation and regulations
Actively promote and raise awareness of the Financial Crime function within the firm;
Be the first point of contact for specific PEP advice and guidance to the Client Account Approval ("CAA") / Client Account Review ("CAR") teams, the Front Office and wider support functions as required.
Proactively drive forward projects and initiatives that the team is responsible for.
Responsibility for the firm's policies and processes as they relate to Politically Exposed Persons including any policy and associated system developments
Proactively manage the PEP rolling review process ensuring that all PEP reviews are completed in a timely manner
Proactively develop and maintain the relevant PEP database, including the articulation of process and workflow developments whilst maintaining high quality records
Identify and undertake reviews of PEP relationships as they fall due;
Conduct and where applicable manage EDD process associated with all PEP relationships including screening PEPs against relevant sanctions, adverse media, PEP lists and internal surveillance systems to identify changes and escalate where appropriate;
Seek acknowledgements/approvals from relevant Front Office and Financial Crime Team management;
Work with the Front Office and CAA/CAR teams to provide timely responses to queries and delivery of ad-hoc reviews;
Provide advice and guidance to the various global account opening teams on the interpretation of the Firm's policies and procedures;
Consider and lead the potential offshoring of the PEP review process to the firm's Powai compliance hub
Work within the Financial Crime team to ensure current policies and procedures relating to PEPs remain up to date as well as implementing new policies and procedures as and when new legislation and/or regulations are enacted.
Skills, experience, qualifications and knowledge required:
Dedicated Financial Crime/AML experience preferably within an investment banking/ capital markets environment or at an exchange or regulator
Good knowledge of Legal, regulatory and internal control requirements relating to the Financial Crime function within an integrated investment house.
Excellent interpersonal skills, with a strong personality, confident, highly motivated and organized, team player, but able to operate under their own initiative.
Familiarity with PC software applications: word processing / spreadsheets / databasesDesirable
Ability to identify real issues and know when to escalate them
Ability to work to very short deadlines and make quick and reasoned decisions
Methodical person with attention to detail, together with strong administrative skills and an analytical approach to problem solving