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Financial Crime Compliance Advisory

3 months ago

London, UK, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Background


As a regulated entity the Bank has both a regulatory and statutory obligation to ensure it implements systems and controls necessary to mitigate the risks of the firm being used in connection with money laundering and / or the financing of terrorism or fraud.


The role sits within the Banks 2nd line of defence and as such is responsible for supporting both Front Office and back-office departments by conducting detailed reviews of financial crime matters escalated to CPD – FCG. Working in partnership with 1st line teams so as to ensure that the Bank can undertake business whilst sufficiently mitigating any underlying financial crime risks.


Main interfaces/relationships: Head and Deputy Head FCC SMBC BI and Front Office / OAD staff within EMEA. Additionally, EMEA MLROs & RCCO on ad hoc basis.

Primary remit: 2nd line activities, as defined by CPD – FCG policies, in relation to London financial crime reviews and referrals. To continually risk assess and escalate accordingly when required.

Secondary remit: Undertake role of SME for at least one area of financial crime as directed by Head of Department. Provide advice, guidance, assistance and training to EMEA staff in line with SME responsibilities.


Purpose of Job

  • To manage and oversee the Financial Crime Advisory function.
  • To provide the EMEA region with advice and guidance with respect to applicable financial crime advisory matters whilst also complying with requirements and legislative requirements.
  • To lead and contribute to strategic enhancements of the EMEA financial crime compliance programme.
  • To lead a team providing advice and guidance to the business on referrals that may present a risk of financial crime or bring reputational risk to the Bank.
  • To meet with business units and understand the risks involved in their clients, transactions or structures providing advice to understand and mitigate the risks.
  • To work closely with colleagues advising on sanctions referrals.
  • Ensuring senior management are sufficiently informed and in possession of accurate information by collating MI and drafting reports in preparation for internal committees up to board level.


Accountabilities & Responsibilities

  • To monitor and assess changes to legislation.
  • To assess regulatory enforcement actions and provide recommendations as appropriate.
  • To risk assess those transactions representing an elevated financial crime risk and provide advice, guidance and recommendations to the front office.
  • To analyse and assess financial crime related clauses contained within legal documentation, to appropriately mitigate the risk.
  • To liaise and engage with SMBC BI Legal Department.
  • To determine escalations to the EMEA Head/ Deputy Head of FCC/EMEA MLROs or RCCO.
  • To review, assess and provide feedback on assessments undertaken by the FCC Advisory Team AVP’s.
  • To design and provide targeted financial crime training to key stakeholders throughout EMEA to ensure they understand and comply with the Bank’s requirements.
  • To contribute to the writing of applicable policies, procedures and guidance.
  • To support the EMEA Head of FCC by leading strategic initiatives.
  • Contribute regularly to the global and local initiatives to enhance the financial crime framework. To benchmark and share best practice across the SMBC Group.
  • To provide structured and strategic engagement with senior front office stakeholders.
  • Overseeing the design and compiling of relevant MI (including KRIs) which is provided to EMEA stakeholders and relevant management committees as part of established outsourcing arrangements.
  • To support investigations as required
  • To draft SARs for onward submissions to the Nominated Officer.


Knowledge, Skills, Experience & Qualifications

  • Experience in supporting and managing financial crime teams, providing oversight and guidance to others.
  • Understanding and practical ability to apply the management of financial crime risks within the UK Banking environment.
  • Inquisitive, motivated and highly trustworthy with an ability to work with the minimum of direct supervision, experienced in dealing with highly confidential material.
  • Ability to independently conduct reviews of complicated referrals, assessing and verifying multiple strands of data and documentation.
  • Ability to acknowledge that there is often a need to be a member of more than one team. Tactful, diplomatic, customer focused individual.
  • Strong written and verbal communicator, able to articulate and prepare detailed rationale.
  • Good understanding of the products and services offered by SMBC BI
  • Strong understanding AML / Fraud Transaction Monitoring Systems.
  • Ability to act as Financial Crime SME on behalf of CPD-FCG.
  • Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006.
  • Knowledge of the wider financial crime landscape – UK and global.
  • Well organised with excellent ability to prioritise conflicting work whilst retaining an excellent attention to detail.
  • International Compliance Association (ICA) diploma or other industry recognised professional qualification in relevant financial crime field.