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Financial Crime Compliance Manager

2 months ago

Birmingham, United Kingdom Unity Trust Bank Full time

We are looking for a Financial Crime Compliance Manager to join our team



Do you have the right skills and experience for this role Read on to find out, and make your application.

About Unity Trust Bank

Unity Trust Bank is an award-winning, independent, commercial bank that uses banking to improve the lives of local communities.


Living by our principles of banking with integrity, Unity’s purpose is to help create a better society, not simply maximise profits.


For 40 years we’ve worked with organisations that address social, economic and environmental needs across the UK.


With offices in Birmingham, Manchester and London, we offer a range of day-to-day banking services, including current accounts, savings accounts and loans.


In 2023 Unity achieved the milestone of £1 billion in lending to social enterprises, charities, small businesses, housing associations, and other socially-minded organisations.

In 2024 we received the King’s Award for Enterprise for Sustainable Development in recognition of our dedication to delivering social good through our work.

Our values are also embedded in our culture and we were named as one of the Best Places to Work by the Sunday Times in 2024.

Unity was the first UK bank to become a Real Living Wage employer back in 2013 and the first to achieve the Fair Tax Mark in 2014.


We are also a Women In Finance Charter signatory, a member of the Banking Standards Board and we hold the Investors in People Gold standard.


Visit www.unity.co.uk for more information.



The role


The Financial Crime Compliance Manager will continue to develop the financial crime framework in 2nd line.


The person within the 2nd line at Unity Trust Bank supports the MLRO to provide an expert advisory and monitoring service to ensure compliance with relevant rules, regulations, and code of conduct relation to Fraud and Financial Crime. The role holder will act as the Deputy Money Laundering Reporting Officer. They will support the MLRO in the design, development and ongoing monitoring of the Financial Crimes Risk Management arrangements ensuring these are aligned to the Bank’s Risk Appetite and application legal and regulatory requirements.

The Financial Crime Compliance Manager must also comply with the Individual Conduct Rules.


Responsibilities


  • Lead the design, development and ongoing review of the Bank’s Fraud and Financial Crime Risk Management Framework Policies and associated standards covering: Money Laundering and Countering Terrorist Financing, Sanctions, Proliferation Finance, Tax Evasion, Market Abuse, Bribery & Corruption and Fraud.
  • Provide regular reports and management information to the MLRO, Chief Risk Officer and Board on the Bank’s Fraud and Financial Crime Risk profile outlining the adequacy of systems and controls.
  • Support delivery of the annual MLRO report to the Board.
  • Continue the development of and facilitate the bank wide financial crime risk assessment including an assessment of control effectiveness.
  • Review and consult with 1st line Financial Crime Operations on investigations regarding potential cases of suspected fraud and financial crime as and when required.
  • As subject matter expert, work closely with the 1st line, and any agents of Unity Trust Bank, to review escalations (e.g. Sanctions / PEPs and Adverse media) to the MLRO and where necessary make recommendations to approve/decline in line with the Bank’s AML Policy and Risk Appetite.
  • Suspicious activity report investigation, discounting, and submission of suspicious activity reports to the relevant Reporting Authority on behalf of the MLRO/Nominated Officer.
  • Provide oversight and challenge to the business unit/team Risk and Control Self Assessment’s to ensure fraud and financial crime risks and controls are appropriately identified and evaluated.
  • Contribute to the design and delivery of financial crime training content and provision in the 1st line. Design and deliver financial crime training to 2nd line colleagues, senior management and Board.
  • Monitor and report on staff compliance with financial crime training requirements.
  • Recognised as a trusted point of contact for internal/external stakeholders (including regulators and law enforcement)
  • Quality assurance sampling of financial crime activity and control testing conducted on the 1st line.
  • Deliver thematic reviews of financial crime policies and controls to provide 2nd line opinion on the Bank’s compliance with its policies and applicable legal and regulatory obligations.
  • Monitor, assess and report on emerging legislative and regulatory developments relating to F&FC.
  • Work collaboratively with other Risk & Compliance team members to provide data, insight and analytical expertise on risk management and compliance across Unity to internal and external stakeholders.
  • Deputise for the MLRO when required.


The person


We are keen to hear from people who can work collaboratively and have the following skills:


Professional qualifications:

  • Banking qualifications (D)
  • Financial Crime qualifications (e.g. ICA) (D)
  • Strong track record in financial crime risk oversight and assessment (E)
  • Knowledge of financial crime policies and procedures (E)


Knowledge & experience:

  • Operational knowledge and understanding of the UK regulatory and legal requirements regarding financial crime compliance. (E)
  • Experience in translating legislation and legal advice into clear business-focused procedures, guidance, and training. (E)
  • Ability to anticipate and evaluate potential fraud and financial crime risks at a strategic level (including organisational structures, business processes, product design, distribution channels and third-party providers etc) (E)
  • Experience of presenting at Board, Board Committees and/or Senior Management (D)
  • Have proven experience in financial crime management within financial services at a senior level (D)
  • Skilled in building strong and productive relationships/networks with internal and external stakeholders (E)
  • Experience in the analysis of qualitative and quantitative date/information, drawing appropriate conclusions and making sound decisions (E)


Key skills/competencies:

  • Analytical and problem solving (E)
  • Questioning, listening, and report writing skills (E)
  • Influencing (E)
  • Delivery/ support for continuous improvement initiatives (E)
  • Excellent written and verbal communication skills and good attention to detail with an ability to communicate with impact, ensuring complex information is articulated in a meaningful way to wide and varied audiences (E)


(E = essential D= desirable)


The role will be Birmingham based.