Financial Crime SME - Investment Compliance (Line 1)
6-Month Contract | Investment Management | Hybrid
We are seeking an experienced Financial Crime SME to support a major investment management organisation in strengthening its Line 1 Financial Crime control framework across direct investments, investment counterparties and External Fund Managers (EFMs).
This is a hands‑on role requiring deep expertise in AML, CTF, sanctions, KYC/KYB, PEP screening, adverse media checks and enhanced due diligence, coupled with the ability to translate regulatory requirements into practical, sustainable controls and operating models.
Key Responsibilities
- Assess Financial Crime risks and identify control gaps across investment activities.
- Enhance KYC/KYB, sanctions screening, PEP and Enhanced Due Diligence frameworks.
- Develop and implement a risk‑based oversight framework for External Fund Managers.
- Design and embed practical operating models, governance structures, RACIs and escalation procedures.
- Establish robust approaches for identifying and managing higher‑risk investments, counterparties and delegated investment arrangements.
- Improve Financial Crime MI, reporting and governance processes.
- Support remediation activity and provide review‑ready evidence to close findings and recommendations.
- Translate AML, sanctions and Financial Crime requirements into effective investment‑specific controls.
Required Experience
- Strong Financial Crime expertise covering AML, CTF, sanctions, KYC/KYB, PEPs, adverse media and EDD.
- Experience within Asset Management, Investment Management, Wealth Management or Institutional Investments.
- Knowledge of Financial Crime risks relating to public and private markets, investment counterparties and outsourced investment arrangements.
- Proven track record assessing and challenging External Fund Manager control environments.
- Experience designing risk‑based due diligence and high‑risk assessment frameworks.
- Strong risk and controls background with remediation and governance experience.
- Ability to engage and influence stakeholders across the three lines of defence.
- Experience embedding operational processes and transitioning controls into BAU environments.
- Validate and prioritise Financial Crime remediation activities.
- Strengthen Line 1 Financial Crime controls and oversight.
- Define and implement a target operating model with clear ownership and accountability.
- Enhance MI, governance and sanctions reporting capabilities.
- Deliver sustainable BAU processes, procedures and controls.
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Financial Crime SME - Investment Compliance (Line 1) employer: Lorien
As a leading employer in the Cyber Security sector, we offer an engaging work culture that prioritises collaboration and innovation. Our Stevenage location provides a dynamic environment where employees can thrive, with opportunities for professional growth and development, including support for further security clearances. Join us to be part of a team dedicated to countering cyber threats while enjoying competitive pay and a commitment to employee well-being.
