Financial Crime Specialist

2 weeks ago

Southampton, Southampton, United Kingdom Quilter Full time
About the Role

This is a challenging and rewarding opportunity to join the Compliance team at Quilter, a leading wealth management business in the UK and internationally. As a Financial Crime Specialist, you will play a critical role in preventing and detecting financial crime across all businesses.

Key Responsibilities
  • Investigate allegations of financial crime, analyzing all available information, conducting root cause analysis, and summarizing findings to recommend and take necessary action.
  • Review suspicious activity reports to determine whether a report should be made to the Financial Intelligence Unit, including referral to the Head of Financial Crime Investigations and/or the DMLRO for approval.
  • Review screening matches referred from the 1LOD financial crime specialists for Politically Exposed Persons, Sanctions, and adverse media, making appropriate recommendations for action and sign-off.
  • Review reports of adverse transaction monitoring received from the 1LOD financial crime specialists and make appropriate recommendations for action.
  • Communicate with potential victims of fraud to establish circumstances and additional information to provide a fair and logical decision with supporting rationale.
  • Liaise with law enforcement, government bodies, and other relevant external parties in relation to financial crime activities.
  • Process external information requests and enquiries related to fraud issues.
  • Maintain appropriate records relating to all investigations.
  • Assist with financial crime reporting and data as required by the Group Head of Financial Crime Investigations.
  • Assist with the management of the Financial Crime Investigations Mailbox.
  • Keep up to date with changes in regulations, policies, procedures, and practices.
  • Identify opportunities for improvement to financial crime prevention practices, investigation processes, and make recommendations for change to the MLRO.
  • Embed a positive culture of confident and proactive customer considerations, leading to informed risk-taking through training, communication, and the agreed financial crime risk framework.
  • Build and maintain relationships with other colleagues in industry to promote networking and the sharing of best practice.
  • Attend periodic industry forums on financial crime-related topics to enhance knowledge and expand the network.
Requirements
  • Experience in a financial crime prevention role.
  • Experience of the wealth management industry would be preferred.
  • An understanding of the requirements of FCA/HMT regulations and guidance relating to financial crime. Expertise in AML Regulation and guidance from JMLSG and jurisdictional risk relating to financial crime.
What We Offer
  • A competitive salary and benefits package.
  • The opportunity to work with a leading wealth management business in the UK and internationally.
  • A challenging and rewarding role with opportunities for professional development.
About Quilter

Quilter is a leading wealth management business in the UK and internationally, helping to create prosperity for the generations of today and tomorrow. We oversee over £118.7 billion of investments on behalf of over 900,000 customers. Our business is comprised of two segments: Advice and Wealth Management and Wealth Platforms.

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