Financial Crime Prevention Administrator

7 months ago

Leeds, United Kingdom Interactive Investor Full time

WHO WE ARE:
interactive investor is an award-winning investment platform that puts its customers in control of their financial future.

We’ve been helping investors for over 25 years. We’ve seen market highs and lows and been resilient throughout. We’re now the UK’s number one flat-fee investment platform, with assets under administration approaching £55 billion and over 400,000 customers.

For a simple, flat monthly fee we provide a secure home for your pensions, ISAs and investments. We offer a wide choice of over 40,000 UK and international investment options, including shares, funds, trusts and ETFs.

We also bring impartial, expert content from our award-winning financial journalists, highly engaged community of investors, and daily newsletters and insights.

WHAT WE STAND FOR:
It’s simplewe want our customers to feel confident and in control, for interactive investor to go from strength to strength, and for ii to be a workplace where we can all thrive. Our customer-driven approach and bold values sit at the heart of this. We are honest, straight-talking and transparent with our customers and our colleagues. We are decisive and take ownership of what we say and deliver. We are ambitious and passionate about what we believe is right for our customers, our teams, ourselves and interactive investor.

PURPOSE OF THE ROLE:
Reporting to the Financial Crime Prevention Manager, the role is responsible for providing direct support to the business on Financial Crime, Anti-Money Laundering and Market Abuse.

The role ensures compliance with the appropriate regulations, policies and procedures in order to mitigate these risks to the business and clients

As well as ensuring all daily tasks and monitoring are completed the role is responsible for:

- Undertaking complex Fraud and Market Abuse investigations.
- Identification of Politically Exposed Persons and other High-Risk Customers, assisting Compliance with ongoing monitoring of such customers.
- Approval of Nominated Bank accounts and withdrawals, balancing fraud and ML risks.

KEY ACCOUNTABILITIES:

- CISI Level 3 certificate in Financial Crime or equivalent desirable. If qualification not held, willingness to study required.
- Knowledge of Fraud and Money Laundering investigations.
- Advanced problem solving skills, able to analyse large volumes of data, identifying issues and providing solutions before assessing their effectiveness.
- Thorough understanding of relevant legal and regulatory requirements relating to Financial Crime.
- Ability to independently undertake complex Fraud and Market Abuse investigations, including liaison with clients, external contacts, public authorities, government and law enforcement agencies.
- Be the first contact point for risk advice, process guidance and system knowledge to both external and internal customers on financial crime.
- Reporting and recording of all instances of fraud to CIFAS.
- Identifying Politically Exposed Persons (PEPs) and other High Risk Customers, requesting and evaluating Source of Wealth/Funds information where appropriate. Assisting the Compliance team with ongoing monitoring of such customers.
- Manual approval of Nominated Bank details for withdrawal, balancing Fraud and ML risks on a case by case basis.
- Maintain the first line of defence by ensuring Financial Crime Prevention Department adherence to business processes and procedures that are designed to meet the regulatory standards set out in the relevant FCA rules and guidance.
- Reporting and recording of all instances of fraud to CIFAS and SIRA.
- Independently prepare and oversee the CIFAS & SIRA Annual Audit.
- Maintain the first line of defence by operating risk controls assigned to the individual and ensuring team adherence to business processes and procedures that are designed to meet the regulatory standards set out in the relevant FCA rules and guidance, with particular reference to CASS regulation.
- Build and maintain relationships with key internal and external contacts in order to assist in Financial Crime matters.
- Demonstrate professionalism and integrity with all stakeholders
- Escalate promptly any identified sanction breaches or breaches to money laundering policy/regulations to the appropriate regulatory body and line manager.
- Assist in Financial Crime specialist projects and represent Financial Crime in Process Work Groups and business projects. Act as a point of contact on any issues that have a financial crime impact or regulatory risk and prioritise its remediation.
- Use the training and competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently.

**Requirements**:
KNOWLEDGE, SKILLS, EXPERIENCE REQUIRED:

- High standard of written and verbal communication and good attention to detail. With the ability to manage difficult conversions.
- Understanding of the regulatory environment and the standards required for client protection.
- Highly motivated, pro

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