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Financial Crime Compliance Manager

2 months ago

Birmingham, Birmingham, United Kingdom Unity Trust Bank Full time
About Unity Trust Bank

Unity Trust Bank is a leading independent commercial bank that prioritizes integrity in its banking practices. Our mission is to create a better society by providing financial services that promote social, economic, and environmental well-being.

We have a strong commitment to our values, which are reflected in our culture and operations. Our bank has received recognition for its dedication to social responsibility, including being named one of the Best Places to Work by the Sunday Times.

The Role

The Financial Crime Compliance Manager will play a critical role in developing and implementing the bank's financial crime framework. This includes designing, developing, and monitoring the Financial Crimes Risk Management arrangements to ensure they align with the bank's Risk Appetite and comply with relevant laws and regulations.

The successful candidate will act as the Deputy Money Laundering Reporting Officer and support the MLRO in providing an expert advisory and monitoring service to ensure compliance with relevant rules, regulations, and codes of conduct related to Fraud and Financial Crime.

Responsibilities
  • Lead the design, development, and ongoing review of the bank's Fraud and Financial Crime Risk Management Framework Policies and associated standards.
  • Provide regular reports and management information to the MLRO, Chief Risk Officer, and Board on the bank's Fraud and Financial Crime Risk profile.
  • Support the delivery of the annual MLRO report to the Board.
  • Develop and facilitate the bank-wide financial crime risk assessment, including an assessment of control effectiveness.
  • Review and consult with 1st line Financial Crime Operations on investigations regarding potential cases of suspected fraud and financial crime.
  • Work closely with the 1st line and any agents of Unity Trust Bank to review escalations (e.g., Sanctions / PEPs and Adverse media) to the MLRO and make recommendations to approve or decline in line with the Bank's AML Policy and Risk Appetite.
  • Investigate suspicious activity reports, discount, and submit reports to the relevant Reporting Authority on behalf of the MLRO/Nominated Officer.
  • Provide oversight and challenge to the business unit/team Risk and Control Self-Assessment's to ensure fraud and financial crime risks and controls are appropriately identified and evaluated.
  • Contribute to the design and delivery of financial crime training content and provision in the 1st line.
  • Design and deliver financial crime training to 2nd line colleagues, senior management, and Board.
  • Monitor and report on staff compliance with financial crime training requirements.
  • Be recognized as a trusted point of contact for internal/external stakeholders (including regulators and law enforcement).
  • Quality assurance sampling of financial crime activity and control testing conducted on the 1st line.
  • Deliver thematic reviews of financial crime policies and controls to provide 2nd line opinion on the Bank's compliance with its policies and applicable legal and regulatory obligations.
  • Monitor, assess, and report on emerging legislative and regulatory developments relating to F&FC.
  • Work collaboratively with other Risk & Compliance team members to provide data, insight, and analytical expertise on risk management and compliance across Unity to internal and external stakeholders.
  • Deputise for the MLRO when required.
The Person

We are seeking a highly skilled and experienced professional who can work collaboratively and has the following skills:

  • Banking qualifications (D)
  • Financial Crime qualifications (e.g., ICA) (D)
  • Strong track record in financial crime risk oversight and assessment (E)
  • Knowledge of financial crime policies and procedures (E)

We are looking for someone with operational knowledge and understanding of the UK regulatory and legal requirements regarding financial crime compliance. The ideal candidate will have experience in translating legislation and legal advice into clear business-focused procedures, guidance, and training.

The successful candidate will have the ability to anticipate and evaluate potential fraud and financial crime risks at a strategic level, including organizational structures, business processes, product design, distribution channels, and third-party providers.

We are seeking someone with excellent analytical and problem-solving skills, as well as strong questioning, listening, and report writing skills. The ideal candidate will be able to influence and deliver/support continuous improvement initiatives.

The role will be based in Birmingham, and the successful candidate will be required to work collaboratively with other Risk & Compliance team members to provide data, insight, and analytical expertise on risk management and compliance across Unity to internal and external stakeholders.