Senior Compliance Officer

2 weeks ago

Peterborough, Peterborough, United Kingdom Travelex Full time

Job Summary:

The Senior Compliance Officer will be responsible for ensuring the business complies with all applicable anti-money laundering (AML) legislation, other regulatory requirements, and Travelex's internal standards. The role will work closely with the Money Laundering Reporting Officer (MLRO) to investigate suspicious activity in accordance with the company's and regulatory principles and report to the MLRO.

Key Responsibilities:

  • Conduct financial crime risk assessments for customers, products, and projects to identify potential AML risks.
  • Monitor pre-set levels and parameters related to customer transactions to detect suspicious activity.
  • Manage alerts and cases from compliance systems and tools to identify and escalate suspicious activity.
  • Investigate and analyze suspicious activity reports to make recommendations on what action is required for the compliance operation team and junior analysts.
  • Ensure adequate AML checks are completed for all transactions utilizing the tools and systems available at Travelex.
  • Report suspicious activity to the relevant bodies, such as the National Crime Agency (NCA).
  • Manage compliance alerts and cases within the SLA's and timeframes required.
  • Monitor the compliance of business operations with AML regulations, including training statistics and error rates.
  • Identify, review, and escalate any potential PEPs and Sanctions matches to the MLRO and senior management.
  • Investigate and respond to Law Enforcement and third-party requests in compliance with all applicable Data Privacy laws and regulations.
  • Review and update internal AML documents, such as financial crime risk assessments, policies, processes, and procedures, following regulatory updates and new business requirements.
  • Produce meaningful Management Information reports for the MLRO and senior management, collating relevant information and data as per the company's and regulatory requirements.
  • Support the team and junior analysts to analyze data, using experience to guide on regulatory understanding and identify sources of attempted money laundering.
  • Keep up to date with regulatory changes, making recommendations of process improvement to the MLRO, including amendments of the standard operating procedures & transaction monitoring rules.
  • Provide further analysis and recommendations regarding high-value and higher-risk customers, such as politically exposed persons (PEPs), for the MLRO and senior management's final sign-off.

Requirements:

  • AML experience and/or knowledge applicable to financial services, including Accreditation, Sanction, and PEP screening, Transaction Monitoring, Suspicious Activity Reporting.
  • Understanding of financial crime risk management processes & procedures.
  • Ability to approach problems in a thorough and logical manner.
  • Previous experience of Accreditation, Sanction screening, Transaction Monitoring, Suspicious Activity Reporting, Customer Due Diligence, and all other AML-related activity.
  • Case management, resolution, and communication.
  • Ability to translate research and analysis into well-reasoned recommendations that inform the decision-making process.
  • Excellent communication and analytical skills.
  • Able to present solutions and influence final decision of line manager and key stakeholders.
  • Intermediate to Advanced Excel skills.
  • A committed team player.
  • Manages and plans own workload.

Desirable:

  • AML qualification such as ICA certification or similar.
  • Previous experience in policy writing.
  • Previous experience in process/procedure writing.
  • Risk Management experience.

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