Financial Crime Assurance Manager
2 weeks ago
Responsibilities:
Supporting the MLRO across all the client's products and services by designing, implementing, developing an on-going assurance programme. This includes quality assurance strategies for 1st and 2nd line processes.
- To manage the Financial Crime Assurance team (1 FTE split across 2 colleagues) to ensure resources are appropriately allocated, are sufficiently trained and equipped to perform their roles.
- Developing and keeping up-to-date a risk based plan of assurance activities to undertake throughout the year. To ensure that material legal and regulatory risks facing the business are identified and considered in the construction of the plan, and ensuringthe plan is updated as necessary.
- To own all financial crime assurance related processes and procedures such as testing methodology and review planning, ensuring they are updated regularly.
- The scoping and planning of reviews, including agreeing frequencies and thresholds for QC checks, agreeing terms of reference and methodologies for sampling and reviews and their pass rates.
- Conducting assurance reviews in line with the relevant testing methodologies, terms of reference and the timelines agreed with stakeholders.
- Preparing and agreeing draft reports and delivering independent reports, including any control deficiencies or issues, rating findings with appropriate materiality to the the relevant senior management (including MLRO and equivalent senior business stakeholders).
- Agree action plans with process owners to ensure issues identified are addressed in a risk-prioritised and timely manner.
- Tracking closure of identified and agreed gaps, and challenging the resolution of these issues to ensure all actions are truly closed and risks mitigated.
- Undertake periodic testing of the controls performed by the Financial Crime in line with the teams process level risk and control assessment.
- Keep detailed and sufficient records of all activities and ensure they are kept in line with the Banks internal processes and procedures.
**Skills**:
- Experience of conducting control testing, assurance or compliance monitoring reviews, or internal / external audit, ideally covering financial crime risks.
- A good understanding of the financial crime prevention environment including the relevant UK regulatory and legislative framework.
- Knowledge of the money laundering risks and typologies typically faced by a business with products offered by VBL.
- Excellent communication (verbal and non-verbal) and inter-personal skills, with experience of dealing senior management. Confidence to challenge.
- High quality and demonstrable influencing, stakeholder management and presentation skills.
- A good working understanding of the Financial Crime requirements on the Bank, including under the following:
- FCA Financial Crime Handbook.
- Joint Money Laundering Steering Group Guidance
- The Money Laundering Regulations
- Fraud Act
- Bribery Act
- Criminal Finances Act
- Terrorism Act
- Proceeds of Crime Act
In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.
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