Sanctions Compliance

2 days ago

London, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Purpose of Job

  • To assist the EMEA region in complying with applicable financial and trade sanctions as well as meeting regulatory requirements/expectations.
  • To undertake all EMEA material sanctions investigations involving true matches of listed persons and sensitive countries and to advise on the permissibility of such transactions.
  • To monitor and assess the appropriateness of screening and other operational controls, ensuring that controls are in line with regulatory expectations.


Background

As a regulated financial institution, the Bank has a regulatory obligation to establish and maintain policies, procedures, systems and controls to mitigate and effectively manage sanctions risk. The Bank has operations across the EMEA region and also is required to consider extraterritorial U.S. laws, and accordingly must maintain a coordinated sanctions framework. This also enables the Bank to meet its risk preferences and statements relating to sanctions risks.


The EMEA Sanctions AVP provides advice and guidance to the Bank, with respect to this framework and the investigation of all high-risk investigations and sanctions breaches throughout the EMEA region.


The EMEA Sanctions AVP will also support the EMEA Head of Sanctions with respect to strategic initiatives, in order to ensure that the Bank’s sanctions systems and controls framework remains fit for purpose, in line with market best practice and regulatory expectations.


Facts / Scale

  • Assesses the permissibility of transactions on a daily basis, in accordance with sanctions laws and internal policy
  • Monitors and assesses changes to sanctions legislation on an ongoing basis.
  • Provides advice and guidance to the EMEA region on the adequacy of sanctions operational controls.
  • Acts as a primary point of contact for OAD management with respect to sanctions compliance.


Accountabilities & Responsibilities

  • To collate and obtain due diligence with respect to transactions or activities being performed by the Bank.
  • To perform monitoring of operational controls within the EMEA region.
  • To advise the EMEA region on the adequacy of sanctions operational controls.
  • To provide sanctions training to key stakeholders to ensure they understand and comply with the Bank’s requirements.
  • To assist in the writing of applicable policy’s and procedures.
  • To supply findings in relation to breaches of policy or regulation to the Head of Sanctions.
  • To assess sanctions regulatory enforcement actions and provide recommendations to the EMEA region as appropriate.
  • To escalate effectively to the EMEA Head of Sanctions.



Section 6 – Knowledge, Skills, Experience & Qualifications

  • Experience in conducting and coordinating forensic investigations.
  • Strong investigative skills.
  • Strong analytical skills, capable of making logical assessments based upon factual data.
  • Sound understanding of legal sanctions instruments and key sanctions regimes (EU/UK/US/UN) would be beneficial.
  • Sound understanding of Banking products and services.
  • Excellent verbal and written communication skills, especially when faced with challenge.
  • Good understanding of trade finance products and services would be desirable.
  • An International Compliance Association financial crime qualification would be beneficial.

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