Senior Manager of Financial Crime Advisory

Requirements

• Significant knowledge and experience in the understanding and application of applicable regulatory and legal requirements across Financial Crime
• Demonstrated subject‑matter expertise and deep technical knowledge across the Financial Crime lifecycle
• Demonstrated experience in understanding and applying AML & Financial Crime legislation and regulatory compliance
• Experience in writing and reviewing Policy, Standards and Process documentation
• Experience in performing Risk & Control Assessments
• Experience in a senior role in a Financial Crime oversight function
• Experience in Markets sector
• Proven experience providing expert advice and clear presentations to senior partners and regulators on a wide range of financial‑crime and regulatory issues
• Experience in investigating and reviewing higher risk CDD subject matter
• Experience in the application of sophisticated sanctions legislation
• Experience working in a sophisticated, multi‑disciplinary global organisation and handling critical matters while demonstrating respect and cultural awareness
• Ability to think strategically and innovatively (Desirable)
• Previous experience in an SMF17 or Deputy MLRO role (Desirable)
• Experience in a financial crime oversight role within the clearing houses and post‑trade sector (Desirable)
• Relevant AML Qualifications or courses completed (Desirable)
• Familiarity with data analytics and technology, and tools routinely used in financial crime compliance activities

What the job involves

• Financial Crime Lead for the Post Trade and Digital Markets sectors of the Business, sitting within the broader Financial Crime Advisory team.
• The role will also include the holding of an SMF17 position for the regulated entities within these business areas.
• The role will sit in the Group Financial Crime 2LOD function, and work closely with partners across our Post Trade and Digital Markets businesses, to drive and ensure financial crime compliance and accountability.
• Role will also be responsible for regulatory reporting, and the monitoring and external reporting of suspicious activity.
• Oversight of entities’ compliance with AML & broader Financial Crime legislation.
• Holder of Senior Management Function (SMF17) for Money Laundering under the Senior Manager & Certification Regime.
• Accountable for oversight of compliance with the Group’s policies and procedures for countering the risk that the firm may be used to foster Financial Crime.
• Monitoring, review and external submission of SARs.
• Regulatory reporting to external regulators and bodies on Financial Crime matters.
• Reporting to the Entities’ Boards, Risk Committees and Senior Management providing transparency, partner concern and oversight of FC matters.
• Contact point for FC matters, risk events and higher risk scenarios.
• Oversight of Financial Crime risk assessments to ensure appropriate identification and impact assessment of FC risk within the entities; and assess effectiveness of controls and policies in mitigating risk.
• Oversight of Financial Crime Operations and monitoring and reporting of MI, KRIs and critical metrics to senior collaborators.
• Representing FC at internal risk committees, board meetings, steering committees and new product committees to ensure appropriate consideration of FC risk.
• Provide expert FC Compliance advice to stakeholders based on understanding of legislation, regulatory expectation, risk mitigation and appetite.
• Promote Financial Crime Compliance and awareness within the entities and across the Group.
• Develop and manage relationships with key internal and external partners including central control functions (Risk, Legal, Internal Audit), Financial Crime Operations, and relevant regulatory bodies.
• Ensure timely identification, analysis and impact assessment of key regulatory, legislative and geopolitical developments and ensure financial crime risk assessments, policies and procedures are updated accordingly.
• Work with key business partners to ensure compliance with FC policy and processes and understand local systems and controls.