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Demonstrate excellent subject matter expertise of all elements of a risk based financial crime risk management framework of a global investment bank including Enhanced Due Diligence (EDD), Transaction Monitoring (TM), Sanctions Transaction and Name Screening, Enterprise Wide Risk Assessments including evaluating controls across first and second lines of defence and all elements of an ABC risk control framework.
Take leadership role in validating the Branch's Financial Crime supervisory controls environment by conducting a continuous analysis of operational adherence to relevant FCT procedures.
Take leadership role in identifying key risk areas and concerns within the FCT controls environment, and the ability to report these risks to senior management within the team
Demonstrate an understanding of the London Branch's business requirements and ensuring the FCT functions are performing to the relevant regulatory requirements.
Thorough understanding of the Three Lines of Defence and Controls Framework.
Be a key member of the second line of defence with regards to financial crime prevention and provide support to management.
Working with stakeholders in Frankfurt to coordinate delivery of the Financial Crime Compliance Risk Analysis for the London Branch. This includes locally transposing Head Office methodology for London Branch's implementation, through liaising with stakeholders across the branch; Financial Crime Programme team, heads of business lines; CCUs; BAR, CLM and relevant support functions
Knowledge of UK regulatory and legislative AML, CTF, Sanctions, and ABC requirements and appreciation and awareness of industry best practise and standards.
Take the lead in the execution of timely periodic AML, CTF, Sanction, and ABC compliance quality assurance testing reviews.
Conduct thorough testing and reviews of FCT controls and activities, via the quality assurance function, and make risk-based determinations on whether the underlying activities subject to the review is consistent with relevant policies and provide written justification for QA conclusion
Ensuring that QA results and findings are properly documented and escalated and that related remedial actions are monitored and adequately implemented.
Participation in team meetings with senior stakeholders to report on the status of the QA reviews.
Ensure relevant team trackers/logs are updated to support the creation of accurate QA MI.
Lead the continuous review of trends and discrepancies discovered in the course of QA exercise, and propose thematic remedial actions such as training or enhancements to relevant procedures
Assist in departmental projects as required and any other tasks assigned by the respective line manager.