Compliance and Aml Officer
2 weeks ago
**THE COMPANY**:
Our client is a global investment and wholesale banking group.
**THE RESPONSIBILITIES**:
- Monitoring and assessing the impact of regulatory developments in relation to AML financial crime and sanction regulation, and engage with the relevant business areas to ensure they are implemented.
- Review high risk sanctions alerts referred to Compliance department and take leadership for oversight of financial sanctions monitoring.
- Support the Trading Desk in a project to review KYC for all counterparty broker relationships
- Conduct AML and financial sanctions monitoring and prepare MI statistics to evaluate threat and identify appropriate countermeasures.
- Administer routine AML Due Diligence requests from counterparts, including maintenance and issue of a standard KYC pack and Wolfsberg questionnaire.
- Ensuring new clients and trading counterparties of the Business comply with the AML Policy before an account is opened, and ensure that existing customers continue to meet the requirements.
- Oversee Client and Counterparty initial and on-going KYC Due Diligence by the RMs
- Maintain a comprehensive register of clients and ensure relationship managers perform effective monitoring and ongoing due diligence of clients.
- Support the Compliance Manager & MLRO in preparation of monthly reports and Dashboard to the Business Risk Committee and quarterly reports to the Audit Committee.
- Maintain relevant policies and procedures for the Compliance team where designated.
- Carry out monitoring activities as required by the Compliance Manager & MLRO and follow-up on recommendations arising from the monitoring programme.
- Providing clear, reliable and consistent advice to firm on any compliance issues arising in the business, including in relation to any new product initiatives.
- Provide support, ad-hoc, to the Compliance Manager & MLRO.
**EXPERIENCE REQUIRED**:
- Experience of working in the Compliance department of a Bank or Asset Management firm, with several years’ experience of AML and, financial sanctions regulation.
- Sound knowledge of the UK Money Laundering regulations and the guidance of the Joint Money Laundering Steering Group.
- UK HMT and US OFAC financial sanctions legislation and practical implementation of safeguards to prevent breaches of this legislation.
- Desirably, an understanding of regulator sourcebooks that are relevant to the business, especially SYSC, SUP, COBS.
For further information please contact Hannah Tabatabai
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