At a Glance
- 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, and team player.
The predicted salary is between 60000 - 80000 € 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 firm's 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.
Requirements
- 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
As a Compliance Manager in our dynamic financial services firm, you will thrive in a supportive work culture that prioritises compliance excellence and employee development. We offer competitive benefits, including ongoing training opportunities and a collaborative environment that encourages innovation and professional growth, all set in a vibrant location that fosters both personal and career advancement.
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 to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and AML procedures. Be ready to discuss how you've handled risk assessments or client onboarding in the past. Show them you’re not just a fit on paper but in practice too!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply through our website! We’ve got loads of opportunities that might be perfect for you. Plus, it’s a great way to ensure your application gets seen by the right people. Don’t miss out!
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 reflects the skills and experience that match the Compliance Manager role. Highlight your knowledge of FCA regulations and any relevant financial crime prevention frameworks you've worked with.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you the perfect fit for our team. Don't forget to mention your experience with AML procedures and client onboarding.
Showcase Your Analytical Skills:In your application, emphasise your analytical and problem-solving skills. We want to see how you've tackled challenges in previous roles, especially those related to risk assessments and monitoring systems.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates during the process!
How to prepare for a job interview at CLSA
✨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. Highlighting your analytical and problem-solving skills will be crucial, especially when discussing how you approach client onboarding for higher-risk clients.
✨Showcase Your Team Spirit
This role involves collaboration with various teams, so be ready to share instances where you’ve worked effectively in a team setting. Emphasise your ability to liaise with different departments and contribute to governance meetings.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to suspicious activity reports or client screening. Practising your responses to these scenarios will help you demonstrate your proactive mindset and attention to detail.
