Financial Crime

3 weeks ago

London, United Kingdom Oliver James Associates Full time

**Responsibilities**
- To provide advice on queries from the business relating to licensing and financial crime (Sanctions, AML, ABC, Conflicts of Interest, Gifts & Entertainment, Fraud, POCA, Market Abuse).
- To support underwriters by reviewing and performing the necessary Enhanced Due Diligence checks, where required.
- To review and implement a scoresheet and guidance document to assist executive management with approving customers and / or transactions deemed to be 'high-risk'.
- To provide input to all Know Your Customer (KYC) requests from third parties and produce a standard compliance KYC response document.
- To manage the review of the daily sanctions alerts via the various screening systems.
- To assist with the production of the half-yearly MLRO reports.
- To assist in the completion of the annual risk assessment of every key area's exposure to and control over financial crime, evaluating their controls and their understanding of the company-wide controls in place, ensuring the follow-up of any recommendations.
- To assist in the implementation of any findings arising from the historic financial crime risk assessments.
- To ensure that all financial crime training modules remain current and effective and provide training to staff, including the delivery of face-to-face training, as required.
- To support and produce financial crime, monitoring and / or advisory Compliance Hot Topics for review and issuance by the Senior Compliance Officer(s).
- To assist and perform the annual Conflicts of Interest attestation and manage the Conflicts of Interest / Gifts & Entertainment registers.
- To carry out the quarterly Segregation of Duty reviews, and check for any segregation of duty issues on all new system access requests.
- To assist with the completion of the monitoring activities that comprise the Compliance Monitoring Programme and identify and support the implementation of enhancements to this programme as necessary.
- To ensure that the importance of contract certainty is understood across the Company and that controls to monitor contract certainty are embedded.
- To support the Compliance Department as required and perform tasks requested by the Senior Compliance Officer(s), such as horizon scanning; regulatory returns; compliance projects etc.
- To promote a culture of compliance by raising awareness of compliance and regulatory matters and ensure adherence to applicable laws and regulations.

**Performance Objectives**
- Alongside the Senior Compliance Officer, manage all business queries relating to financial crime, sanctions and / or licensing.
- To review and update the AML, ABC, Fraud and Sanctions training modules.
- To respond to queries from the business within the agreed service standards.
- To successfully renew the LATAM and other licenses in advance of the renewal dates.
- To close sanctions alerts within 24-48 hours, where possible.

**Skills And Experience Specification**
- An instinct to be proactive, identifying improvements to the Department's ways of working, reporting and communications.
- Strong analytical skills.
- Ability to manage own workload, prioritising tasks appropriately and ensuring that agreed delivery dates are achieved.
- Excellent interpersonal skills, able to communicate effectively with a wide range of people face to face and over the telephone, Teams etc.
- Good written communication skills so can respond to correspondence in a professional manner both internally and externally.
- A minimum of four years' experience in providing financial crime advice to the business in a compliance role.
- Experience in using a minimum of one Sanctions Screening Tools (AST)
- Worked as part of a team and the willingness to help others

**Desirable**
- Having used and cleared daily sanctions screening alerts.
- Recognised financial crime qualifications.

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