Firms Financial Crime Compliance team provides global, firm-wide oversight and guidance for all financial crime related matters, including the prevention of fraud.
This role sits within the Financial Crime Compliance team, and is extremely broad, offering exposure policies, procedures, controls and governance forums designed to support the compliance with all applicable AML/CTF requirements, including anti-money laundering, sanctions, bribery, corruption, fraud and more, all on a global level. The work is diverse and includes due diligence, investigations, research, policy & procedure writing, consideration of reputational risk matters and ad hoc project work.
Responsibilities:
- Acting as an advisor and first point of contact for the investment engines, sales team and wider business
- Leading on financial crime governance and oversight (e.g. management of Financial Crime Oversight Committees, risk assessments, RCSA management)
- Research, analysis and assessment of new business (funds, asset classes, investment strategies, etc) for relevant financial crime considerations and supporting in the development of new operating models to support an evolving business
- Conducting risk-based due diligence for prospective and existing deals, transactions, counterparties, clients and ESG related projects to assess the financial crime and/or reputational risks which may exist
- Actively supporting the Financial Crime Sanctions programme, including the assessment and response to economic sanctions announcements and management of the automation of firm-wide restrictions
- Support the firms commitment to complying with all relevant proliferation financing measures within the United Nations Security Council Resolution
- Support for other Financial Crime programmes and oversight of banned weapons, cannabis and crypto investing
- Support the prevention and management of fraud for the firm, including any project based work relating to the UK Failure to Prevent Fraud Offence
- Participating and/or leading in the design and roll-out of new technologies for the Financial Crime team
- Preparation of draft policies, procedures, board reports, and other senior management reporting
- Prevent, detect and report suspicious activity, bribery and corruption, and where required, filing regulatory reports when required
- Identify risk factors and apply appropriate controls and measures to mitigate such risks
- Seek to actively improve processes and put forward suggestions for process efficiency in the business
