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The team's objectives are to (i) assist the senior management in managing the Bank's financial crime risk by implementing policies and procedures, systems and controls which are proportionate to the perceived financial crime risks, including but not limited to money laundering and bribery and corruption risks, run by the Bank (ii) undertake detailed financial crime risk assessments at customer, product/service and business line levels and (iii) provide challenge and oversight to the first line of defense in respect of their financial crime controls.
The prime purpose of the role is to assist the Head of Financial Crime Controls and Advisory and the Head of Financial Crime in all aspects of their roles and in particular by maintaining a robust financial crime control and advisory framework to manage and mitigate the Bank's financial crime risk, specifically the risks associated with money laundering, terrorist financing, bribery and corruption, sanctions breaches and fraud.
The role involves the provision of advice and guidance to Bank employees, both locally and overseas, on all aspects of financial crime, policies, rules and regulations. In addition, the role is to assist with the completion of the annual Financial Crime Risk Assessment.
Key Responsibilities / Accountabilities
Provide input (as subject matter expert) to all relevant stakeholders in relation to financial crime policy and procedure content, including, but not limited to the AML/CTF Policy, the Anti-Bribery and Corruption Policy, the Sanctions Policy, the Gifts and Entertainment Policy and related policies and procedures (together, "Financial Crime Policies") and implement financial crime policies in line with Bank requirements
Provide guidance, clarification and support in the delivery of financial crime policies and procedures
Consider waivers, documentation extensions and deviations from policy requirements and review of procedures and processes to ensure that they remain in alignment with policy requirements
Provide comprehensive guidance and support for a continued robust financial crime risk & controls assessment / framework
Assist with the completion and presentation of the annual global financial crime risk assessment
Assist with the assessment of the financial crime risk inherent in the Bank's business as part of the development of a risk based approach to financial crime compliance
Assist other areas of the Bank's group with financial crime compliance issues
Assist the financial crime compliance team with developing practical solutions to ensure ongoing compliance with and effective control of, money laundering related rules, regulations, guidance and Bank initiatives
Represent the financial crime compliance team on internal projects and working groups, providing input in AML/CTF, ABC and Sanctions matters and influencing those bodies as appropriate
Maintain effective relationships with business and support functions across the Bank to ensure a positive image of the Bank's financial crime risk management both internally and externally
Assist with preparation and delivery of financial crime training across the Bank and its branches and subsidiaries
Investigate internal SARs, making internal and external reports as appropriate
Keep abreast of the national and international financial crime regulatory environment, identifying developments that may impact the Bank's financial crime control framework and reporting appropriately
Preferred Qualifications and Experience
Qualifications and Experience:
A degree (or equivalent)
A market standard qualification in financial crime (AML/CTF, ABC, Sanctions, and/or Fraud) compliance
Professional qualification is desirable (e.g. legal or accounting qualification)
Relevant experience in financial crime compliance, ideally gained in-house in a global financial services organisation
Excellent understanding of UK financial crime regulatory requirements and best practice as well as the international environment in relation to financial crime
Experience and knowledge in dealing with anti-bribery & corruption (ABC) related matters.
Experience and knowledge of financial crime and regulatory risk & control assessments
Good understanding of commercial banking and investment products
Knowledge, technical skills and expertise:
Understanding of FCA rules and regulations or equivalent
Excellent knowledge of JLMSG Guidance Notes
Understanding of KYC concepts
Understanding of risk and control in a financial crime compliance environment
Understanding of money laundering and sanctions
Understanding of bribery, corruption and fraud
High level of integrity
Strong communicator at all levels (internal and external); good team player
Sustained commitment to engagement and ownership
Ability to deliver work under pressure
Ability to navigate complexity and ambiguity, also being flexible and adaptable
Strong stakeholder management skills, at junior and senior levels
Excellent presentation, communication and consultation skills (written and verbal), including good drafting and report writing skills
Must have investigatory skills and analytical ability, including flexible thinking, as well as organisational, planning and problem solving skills
Could this be the next step in your financial crime career? Get in touch today.