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- Tasks: Oversee financial crime prevention and ensure compliance with regulations.
- Company: Dynamic financial firm committed to integrity and compliance.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Join a global team with opportunities for growth and impact.
- Why this job: Make a real difference in preventing financial crime and protecting clients.
- Qualifications: 7+ years in financial crime or KYC, strong analytical skills required.
The predicted salary is between 60000 - 75000 £ per year.
This role is responsible for overseeing the firm’s financial crime prevention framework, ensuring compliance with FCA regulations and internal policies. It involves maintaining AML procedures, conducting risk assessments, and supporting client onboarding, particularly for higher-risk clients. The role also includes monitoring screening systems and assisting with investigations and SAR submissions. Additionally, it supports training, governance, and collaboration with internal and global teams.
Key Areas of Responsibilities- Adhere to FCA regulations and the CLSA code of conduct at all times.
- Assisting with developing and maintaining the firms AML and financial crime policies in line with evolving statutory and regulatory obligations.
- In consultation with management, determining and updating the money laundering risk-based approach and the risk assessment of the firm’s customers, products and services.
- Taking a key role in the client onboarding process carrying out an advisory, review and approval function particularly in regard to higher risk clients.
- Ensuring that firm’s clients and associated individuals are screened regularly against sanction lists and for any PEPs, disciplinary action and adverse media and appropriate action taken.
- Daily monitoring of World Check One system to ensure relevant alerts are reviewed and cleared or escalated as necessary.
- Developing and maintaining appropriate risk-based monitoring processes that are proportionate to the scale, nature and complexity of the firm’s operations.
- Assisting with internal suspicious activity reports and investigations including SAR preparation and submitting to the NCA as necessary.
- Ensuring that all relevant staff are adequately trained in financial crime prevention, that the standards and scope of the training is appropriate and that training records are kept.
- Assisting with Financial Crime governance meetings.
- Liaising with Group and Head Office departments to maintain and develop AML policies and procedures globally, including participation in the Global Financial Crime Committee (GFCC).
- Assisting the CLSA Europe Compliance team in Financial Crime matters.
- Knowledge of, and adherence to, the Company’s Environmental Management Systems and policies.
- Bachelor’s / master’s degree or above required.
- Minimum 7 years of relevant experience in financial crime or KYC role.
- Understanding of applicable UK, European and Global regulation and legislation relating to financial crime and client onboarding with a motivation to expand that knowledge.
- Strong analytical and quantitative, interpersonal, organizational, problem-solving skills.
- Able to work independently, strong attention to detail with a proactive mindset, a team player.
- Excellent command of / fluent in both spoken and written English.
- Certified as / Licensed with Financial crime related qualifications would be a plus.
Compliance Manager, Financial Crime, Compliance employer: CLSA Global Markets Pte Ltd
Contact Detail:
CLSA Global Markets Pte Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager, Financial Crime, Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial crime sectors. Attend industry events or webinars, and don’t be shy about asking for informational interviews. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews! Research the company’s compliance policies and recent news related to financial crime. We want you to show that you’re not just another candidate; you’re someone who’s genuinely interested in their mission and ready to contribute.
✨Tip Number 3
Practice makes perfect! Get a friend or mentor to do mock interviews with you. Focus on articulating your experience in AML procedures and risk assessments clearly. We want you to feel confident and ready to tackle any question that comes your way.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and engaged. Let’s get you that Compliance Manager role!
We think you need these skills to ace Compliance Manager, Financial Crime, Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in financial crime and KYC, and don’t forget to mention any relevant qualifications. We want to see how your skills match what we’re looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and financial crime prevention. Share specific examples of your past experiences that relate to the job description. We love a good story!
Showcase Your Analytical Skills: Since this role requires strong analytical skills, make sure to include examples of how you've used these in previous roles. Whether it’s conducting risk assessments or monitoring systems, we want to see your problem-solving prowess!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts and you’ll be all set!
How to prepare for a job interview at CLSA Global Markets Pte Ltd
✨Know Your Regulations
Make sure you brush up on FCA regulations and the CLSA code of conduct. Being able to discuss these in detail will show that you’re not just familiar with the rules, but that you understand their importance in preventing financial crime.
✨Demonstrate Your Analytical Skills
Prepare examples from your past experience where you've successfully conducted risk assessments or handled AML procedures. Be ready to explain your thought process and how you approached problem-solving in those situations.
✨Showcase Your Team Spirit
This role involves collaboration with various teams, so be prepared to discuss how you’ve worked effectively in a team setting before. Highlight any experiences where you’ve liaised with different departments or contributed to governance meetings.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions about the company’s approach to financial crime prevention or their training processes. This shows your genuine interest in the role and helps you gauge if it’s the right fit for you.