Compliance Officer

3 months ago

Reading, United Kingdom Investec Full time

Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves.

**Team description**

Supporting the AFG MLRO the Financial Crime Team are the first point of contact for all matters relating to Financial Crime ensuring AFG maintain a risk-based approach to establishing effective systems and controls and a control environment to assist in identifying, assessing, monitoring, and managing Financial Crime risk in line with AFG Policies and Standards.

Description of role and key responsibilities In all stages of the client lifecycle, the role will involve taking a risk-based approach to customer due diligence, client screening, enhanced monitoring of higher risk clients, review of higher risk trigger events such as third-party payments, reviewing allegations of fraud, liaising with law enforcement agencies & Fraud Prevention Agencies & supporting reporting suspected money laundering to the NCA

**Key responsibilities**

**_ Risk Management and Compliance_**
- To be the initial contact point for the business on all issues relating to Financial Crime
- To make decisions on money laundering and fraud related issues, referring to the MLRO where appropriate
- To work in collaboration with the AFG Operations Teams to ensure the consistent delivery of regulatory and legislative standards.
- Work in collaboration with the business to make sure agreed SLAs are adhered to and high risk customers are managed effectively.
- Take ownership for deliverables relating to relevant Financial Crime projects, taking a lead role where required.
- To keep up to date with all relevant regulatory and legislative changes and raise potential emerging risks with line management.
- To ensure that records are kept of work undertaken and advice given to the business and that accurate record keeping is in place to enable retrieval to meet regulatory responsibilities.
- To ensure that responsibilities regarding Prevention of Financial Crime (including money laundering, identification and reporting of fraud and relevant customer due diligence) are carried out effectively through a risk-based approach and in line with AFG's policies and standards.
- Assist in creating and updating AFG Financial Crime procedures and processes.

**_ Customer and Relationship Management_**
- To liaise with law enforcement and fraud prevention agencies to ensure a compliant business.
- Represent AFG at external forums, seminars and meetings, feeding back to the Team as appropriate
- Build professional effective working relationship with key internal operational departments.

**_ Process management_**
- Manage all referrals (both on-boarding and in life) received into Financial Crime Mailbox making decisions and providing advice to the business in a timely manner.
- Manage on-boarding automated AML and Fraud referrals via Zoot using all associated automated tools to support and assist with your investigations.
- Review matches generated via AFGs client screening solution (Datahub) for possible PEP, Sanctions, Special Interest Persons and Entities matches maintaining the relevant registers and referring high risk clients to the MLRO for approval.
- Perform annual reviews on high-risk clients when due and refer to MLRO for approval
- Actioning and monitoring Suspicious Activity Reports and Law Enforcement requests reporting to the NCA where required managing all post disclosure issues and transactions.

**_ Core skills and knowledge_**
- To act with integrity at all times and embrace the philosophy of treating our customers fairly in line with consumer duty expectations.
- Ability to build and maintain collaborative relationships with internal and external stakeholders at all levels across the business.
- Ability to challenge business stakeholders objectively and effectively.
- Ability to work at times under pressure and to tight deadlines.
- Effective communication skills

**Any other attributes that would be helpful, but not essential for the role**.
- Ideally experience working within an Asset Finance lender
- Previous experience in financial services in a financial crime/compliance role

**As part of our collaborative & agile culture, our working week is 4 days in the office and one day remote.**

Investec offers a range of wellbeing benefits to make our people feel healthier, balanced and more fulfilled in their lives inside and outside of work.

Here is a selection of what we offer;
**Wellbeing**

Wellbeing Subsidy, Corporate Gym Membership, Virtual GP, Peppy Health App (Fertility, Menopause and Early Parenthood), Optional Private Medical & Dental Insurance

**Monetary**

Non-co

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