AML Risk Assurance Assistant Manager

4 weeks ago

Fareham Hampshire, United Kingdom Michael Page (UK) Full time

About Our Client

My client is a financial services organisation with these particular offices based in Whiteley and with 3 other offices in Europe, 2 in the US and also in Bahrain and the Cayman Islands.

Job Description

Job Purpose

To support the Director, Compliance Officer and MLRO in the execution of an effective programme of risk assurance, to include the performance of risk-based thematic monitoring and the creation, maintenance and execution of ongoing monitoring activities within the firm, in accordance with legal and regulatory obligations. The role holder will, with other members of the assurance team, complete ongoing regular testing on key areas identified as presenting risk to the business and provide detailed reporting on the results of the testing performed for discussion and analysis. In execution of responsibilities the role holder will liaise with the business for efficient, complete and objective execution of testing assigned and as appropriate make recommendations for remediation.

Key Result Areas
  • Lead and diligently execute testing assigned within the defined risk-based monitoring programme in accordance with established timeframes to include, but not limited to, testing in compliance with company Policies and Procedures, Laws and Regulations to which the firm's business is subject.
  • Manage other members of the team, to assist and support their completion of monitoring activities and other compliance related duties. Support and facilitate those individuals' wider performance, productivity and development.
  • Complete testing sheets for tests carried out presenting the results in an organised and detailed way
  • Evaluate testing carried out (as Satisfactory, Partially Satisfactory, Not Satisfactory) to enable accurate reporting of control deficiencies
  • Maintain accurate and up to date records of testing performed to include detailed results analysis
  • Review and drive the execution of a risk-based thematic approach to monitoring.
  • Liaise with the business on an ongoing basis, obtaining information that may impact ongoing monitoring activity
  • Drive the development and continual evolution of the Risk monitoring and testing programme analysing testing performed and making recommendation for any changes / enhancements which may be appropriate in accordance with the risk-based approach
  • Where appropriate, making recommendations for the effective and timely resolutions of any deficiencies identified through the monitoring plan.
  • Liaise with other Risk Assurance employees in other jurisdictions to manage tests that have an impact beyond the UK programme.
  • Work with the Compliance Officer and MLRO to ensure effective alignment of risk assurance programme with Senior Management Responsibilities.
  • Assist with the preparation of reporting to Boards, Committees and Senior Management on Risk Assurance and testing, providing sufficient information on outcomes arising from the programme such that Boards, Committees, Senior Management and the Business are aware of their identified risks and agree remedial steps
  • Take responsibility for personal development, in line with agreed annual performance objectives
  • Provide timely and appropriate reporting in relation to key risk information identified during testing (e.g. possible breaches, errors etc)
  • Maintain or ensure that matters identified that represent a breach of procedures or regulation are recorded on appropriate registers
  • Identify policy and procedure changes identified through risk assurance activities and initiate review process through appropriate channels
  • Support Ad hoc projects, as required
  • Assist with developing terms of reference for thematic reviews (targeted in-depth reviews on specific risk areas) as required
  • Provide support to the wider Risk team as required (e.g. assist with the clearing of activities, run and circulate reports required by the business, communications to all staff to read policies and procedures)
  • Assist with the development and delivery of staff training, as required
  • To act in accordance with company values

The Successful Applicant


* Good understanding and knowledge of the local finance industry and

regulatory requirements

* Good understanding and knowledge of the AML legislation, Orders and

the AML Handbook

* Good knowledge of the Codes of Practice for Funds and Trust Company

Business

What's on Offer

An excellent salary and benefits package, including bonus, is available to the successful candidate.

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