Compliance Advisor for Financial Crime Prevention

3 weeks ago

Manchester, United Kingdom Puilaetco Full time

Purpose of the Role

Puilaetco is a prominent private banking institution dedicated to wealth management; we prioritize our clients and their families, offering personalized services grounded in a profound understanding of their aspirations. With a compact workforce of fewer than 2,000 employees across various European and UK locations, we aim to uphold our mission of being the most reliable steward of family wealth.

By joining Puilaetco, you become part of an organization that values diverse backgrounds, equal opportunities, career advancement, teamwork, and inclusivity. We strive to ensure our employees take pride in being part of a company committed to ethical practices. You will have the chance to enhance your career while growing personally and professionally through a variety of resources and programs.

The Financial Crime Compliance Specialist role is crucial within the compliance team, tasked with ensuring that operations at Puilaetco effectively identify, manage, and mitigate financial crime risks. This position is responsible for providing timely guidance to the business and ensuring that policies, procedures, and the risk control framework are continuously assessed and improved, advising the business on necessary actions to maintain a robust compliance risk management strategy within the Group's risk appetite.

Key Responsibilities

- Clearly articulate financial crime risks in accordance with Group Policies and any local regulatory requirements not encompassed within Group Policy (documented through country addendum).
- Primarily support the Financial Crime Compliance Advisory team in maintaining an effective control framework and ensuring adherence to all relevant external laws, regulations, internal codes, and best market practices, with a primary focus on Puilaetco.
- Serve as a quality reviewer/approver for high-risk client files within the business.
- Provide advisory services to the Puilaetco business to ensure a clear understanding of compliance risk exposure related to clients, transactions, and products.
- Support second-line governance regarding financial crime risk exposures, offering analysis, reporting, and governance to Puilaetco and Group governance committees, maintaining an independent assessment of risk exposure.
- Assist the business and the Head of Financial Crime Compliance Advisory and MLRO with all financial crime-related matters.
- Aid the Head of Financial Crime Compliance Advisory and MLRO in implementing strategic functional objectives and delivering essential services to the Group and country efficiently.

Knowledge and Experience

- Proven experience as a compliance manager across all aspects of financial crime risks within a global financial services firm.
- In-depth knowledge of the structure of financial institutions (experience in private banking is advantageous).
- Capability to devise practical and optimized solutions to complex challenges.

Attributes and Qualities

- Exceptional communication and interpersonal skills.
- Consistently meet set objectives and proactively seek to enhance personal performance.
- Strong organizational abilities.
- Collaborative working style with colleagues and broader stakeholders within a cross-border and Line of Business matrix.

Technical Skills

- Familiarity with policy and procedure impact analysis and implementation.
- ICA ML/FCC qualifications are preferred.
- A graduate in any discipline with relevant exposure in risk or audit profiles.
- Experience in establishing and maintaining risk and control frameworks for AML/CTF, sanctions, anti-bribery and corruption, fraud, tax evasion, and preventing the facilitation of tax evasion risks.

Language Skills

- Proficiency in English; any additional European language is a plus.

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