Investment Banking Deputy Mlro
3 weeks ago
About Us
As one of the world's largest independent financial advisory groups, we know that it takes a distinct perspective to make a meaningful difference to our clients’ business and wealth.
Rothschild & Co is a global and family-controlled group. We provide M&A, strategy and financing advice, as well as investment and wealth management solutions to large institutions, families, individuals and governments, worldwide.
Having been at the centre of the world's financial markets for more than 200 years we can rely on an unrivalled global network of more than 3,800 talented employees and a track-record of outstanding execution with 60 offices around the world.
Our integrated global network of trusted professionals and decision makers around the world provide in-depth market intelligence, meaning we can be closer to current issues than any other global financial institution in our core markets.
It is this scale, local knowledge and intellectual capital that allow us to provide a distinct perspective and effective long-term solutions for our partners.
Key Accountabilities
- Acting as Deputy MLRO for the UK GA business
- Assisting the MLRO in the performance of his/her duties including but not limited to receiving and submitting SARs, drafting the annual MLRO report to the board, design and delivery of financial crime related training
- Assisting in the compilation of Management Information
- Support development in the wider financial crime compliance framework (including AML/CTF, Sanctions and Tax Evasion)
- Liaising with Local Compliance, Group Legal, Compliance and Risk function and business stakeholders as required
- Assisting the MLRO to ensure robust systems and controls from a financial crime perspective.
- Providing advisory support and monitoring business lines to ensure that appropriate local policies and procedures are in place and are compliant to Group financial crime policy requirements;
- Assisting in the collation, reviewing and recording of all Intra-Group Information Sharing (both quantitative and qualitative data);
- Assisting the Head of GFCC and the wider team in identifying potential financial crime risks arising within the GA business lines and advising the businesses on how to mitigate these risks;
- Providing support in the reviewing of Group wide financial crime training and ensuring that any local financial crime training provided, is in line with both Group and regulatory obligations.
- Providing Sanctions SME support to the businesses on sanctions related matters. Where necessary, the role requires the individual to liaise external law firms.
- Leading the GA Group wide financial crime risk assessment processes
- Attending new client acceptance committees and representing GFCC
Skills, Knowledge and Experience
- 5 years minimum experience in Financial Crime Compliance
- Previous MLRO/Deputy MLRO experience preferred
- Experience in an M&A/Investment Banking/Capital Markets business
- ICA financial crime related qualifications desirable
- Sanctions SME beneficial but not essential
- Previous exposure in a Group role beneficial
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