THE COMPANY:
Our client is a UK-leading investment firm, specialising in private client services.
THE RESPONSIBILITIES:
Financial Crime Framework:
- Provide subject matters expertise for AML escalations including new client onboarding cases.
- Assist in AML enhancement deliverables including embedding of new AML periodic review framework within 1st line including training and support.
- Provide guidance on queries relating to new or existing clients with overseas connections.
- Assist with teams AML periodic review schedule of high-risk clients.
- Assist with daily cash monitoring and Source of Funds/Source of Wealth checks.
- Assist with review of payment flags escalated via the accounts department.
- Review and escalte AML “trigger events” to DMLRO.
- Review, discount, escalated daily client ongoing screening flags in Smart search.
- Assist with AML escalations on an advisory basis. This will also include helping with onboarding escalations and reviewing new client cases.
- Assist in data collation/stats to submit relevant regulatory disclosures and management information.
- Assist with management information and reports.
- Assist with maintenance of AML record keeping such as AML client risk registers and disclosure logs.
- Assisting colleagues, DMLRO with maintenance of the AML risk appetite framework and relevant risk assessments.
- Assist in developing and embedding AML policies and procedures within the firm to ensure they remain in line with regulatory expectations.
- Provide assistance and support to market abuse function including LiquidMetrix surveillance.
General Compliance & Reporting:
- Assist in various aspects of Department’s administration, providing cover and support to other members of the Compliance team when necessary, including financial promotions, breaches register and due diligence questionnaires.
- Assist with the Complaints reporting process and associated reporting.
Special Projects:
- Carry out and assist with special projects as required.
Personal Conduct:
- Ensure that the firm’s clients and staff are always treated fairly and responsibly, with respect and consideration
- Work within the regulatory and the Firm’s compliance framework
- Maintain own professional competence through training and course work
EXPERIENCE REQUIRED:
- Experience in an AML or related role at a wealth management firm or similar organization.
- Understanding of the scope of the UK Regulatory Environment and practical experience of applying knowledge, gained in a relevant role.
For further information please contact Hannah Tabatabai
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Financial Crime Analyst – Wealth management employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
