Financial Crime Specialist

3 months ago

London, United Kingdom Walker Crips Full time

**Aim and Purpose of the role**:
Working closely with the MLRO and key stakeholders across the business to strengthen and develop our financial crime compliance framework, maintaining and monitoring our key risk controls. As a key member of the Financial Crime Team, the Specialist will support the MLRO to drive strategic change in relation to our processes and controls environment, staying up to date with the law, regulations and industry guidance, and ensuring that we not only remain compliant, but also anticipate and assess the impact of incoming and future changes, implementing updated controls, policies and processes as appropriate.

**Specific Duties**:

- Support the MLRO and DMLRO in the development and execution of our Financial Crime governance framework, including monitoring, monthly Management Information (MI) and reporting;
- Helping the the MLRO and DMLRO to establish and maintain effective systems and controls for the prevention of financial crime;
- Helping the the MLRO and DMLRO to identify the financial crime risks to the firm and regularly assessing its systems and controls;
- Support the SMF17 in producing the annual MLRO report for the Board;
- Support the SMF17 in producing the annual Financial Crime Business Wide Risk Assessment n(FC BWRA) and quarterly Country and Sector risk assessments;
- Support the SMF17 in producing the Financial Crime (REP CRIM) report to the FCA in a timely manner;
- Provide proactive support and advice to the Business on financial crime-related issues and day-to-day queries;
- Where required, assist the MLRO and DMLRO in producing reports for senior management, regulators and law enforcement including FCA, Action Fraud and the NCA;
- Undertake any financial crime-related project work, as directed by the MLRO;
- Contribute to the delivery of the Financial Crime Compliance Monitoring Programme and support the Compliance team in the successful delivery of the programme;
- Support the development and monitoring of the Firm’s training plan, including performing detailed analysis of training data and using this information to design future rollouts to develop a stronger culture and more understanding within the firm;
- Providing or arranging financial crime training for relevant individuals;
- Assist with horizon scanning by working closely with the Compliance Advisory team to ensure colleagues and the Firm are appropriately informed of key regulatory, legislative and industry updates and developments, and recommend appropriate action;
- Helping to maintain the Firm’s ‘Financial Crime Log’ to ensure all incidents are appropriately recorded and managed and generally ensure adequate records are kept and maintained in compliance with regulations;
- Assist as and when required, with any investigations into suspicious activity incidents and fraud incidents that have been escalated to the Financial Crime Team;
- Contribute to the production of reports suitable for senior management and external bodies, including FCA, Action Fraud and the NCA;
- Maintenance of existing and development of new financial crime related policies and procedures, to ensure they are up to date and in line with new rules and regulations, as well as any changes in internal practices and procedures;
- Perform file reviews and support 1LOD with any CDD and EDD queries; and
- Support the completion of AML due diligence requests from external relationships.

**Skills**:

- Strong ability to develop and maintain effective relationships with key internal and external stakeholders.
- A high level of attention to detail and experience following strict processes and requirements.
- An inquisitive nature which is inclined to investigate, identify issues and solve problems.
- Excellent time management and prioritisation skills.
- IT Literate - including being highly proficient in Microsoft Excel.

**Knowledge**:

- Knowledge of UK, EU and global fraud, anti-money laundering and anti-bribery and corruption legislation and the Joint Money Laundering Steering Group (“JMLSG”) guidance notes.
- A strong understanding of the financial crime risks faced by Walker Crips.
- A strong understanding of Sanction and PEP requirements.
- Strong knowledge of FCA rules, guidance and practices, in particular Senior Management Arrangements, Systems & Controls (SYSC) requirements and Conduct of Business (COBS).

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