At a Glance
- Tasks: Oversee financial crime prevention and ensure compliance with regulations.
- Company: Join CITIC CLSA, a leader in financial services with a commitment to integrity.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic role with opportunities for global collaboration and career advancement.
- Why this job: Make a real impact in preventing financial crime while growing your career.
- 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 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.
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 - CITIC CLSA in London employer: Jobs via eFinancialCareers
CITIC CLSA is an exceptional employer that prioritises a collaborative and inclusive work culture, fostering professional growth and development for its employees. With a strong commitment to compliance and financial crime prevention, the firm offers comprehensive training and support, ensuring that team members are well-equipped to excel in their roles. Located in a dynamic financial hub, employees benefit from exposure to global markets and the opportunity to work alongside industry experts, making it a rewarding place for those seeking meaningful careers in compliance.
Contact Details:
Jobs via eFinancialCareers Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager, Financial Crime, Compliance - CITIC CLSA in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
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We think you need these skills to ace Compliance Manager, Financial Crime, Compliance - CITIC CLSA in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
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Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Jobs via eFinancialCareers. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Jobs via eFinancialCareers
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
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Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
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Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
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