Compliance Manager (AML Focus)
- London, England, United Kingdom
- Permanent, Full time
- Arbuthnot Latham & Co., Limited
- 18 Jan 18 2018-01-18
To support the strategy of the Compliance team to ensure that the firm meets its regulatory requirements.
• To support the Deputy Head of Compliance and Head of Compliance with a particular focus on the regulatory requirements relating to Financial Crime and, in particular, Anti-Money Laundering requirements.
• To carry out reviews, as allocated, in accordance with the Compliance Monitoring Programme, raising issues where appropriate and seeing those issues through to resolution.
• Assisting with the sign-off, checking and monitoring of new accounts.
• To act as a business partner for the Private Banking and Commercial Banking teams.
• To be responsible for identifying training needs and assisting with the provision of the Compliance training plan across the Bank and contribute by delivering training to the business.
• To be actively involved in business and compliance projects, ensuring that all regulatory requirements are met.
• To provide ad hoc advice to all aspects of the business.
• To assist with daily monitoring activity including assessment of daily transaction activity.
• To be responsible for the maintenance of allocated compliance policies and procedures.
• To be responsible for the reviewing and assessing FCA and PRA consultations, discussions papers etc, as allocated providing feedback to the team and Senior Management.
• Monitor, review and assess potential PEP and sanctions matches, escalating where appropriate.
• To assist in the preparation and submission of FCA and PRA returns, and applications, ensuring they are completed in a timely fashion.
• To provide cover for day to day compliance tasks depending on the needs of the team.
• Contribute to the financial crime risk assessments for the Bank.
• To represent the Bank at compliance related events as and when requested, providing written feedback to the team, Senior Management and the wider business where appropriate.
• To proactively engage with professional bodies and trade bodies in order to enhance your own and the firm’s knowledge base.
• To ensure that you maintain knowledge of the regulatory environment and where relevant technical knowledge, as relevant to the firm and its subsidiaries.
• To assist with Internal Audit reviews as allocated.
• To be a Nominated Officer for the Bank.
Knowledge & Experience
• Clear, practical understanding of FCA regulation and all other relevant regulations to the firm including Anti-Money Laundering requirements.
• To have achieved or to be working towards a recognised Regulatory Compliance qualification or equivalent industry qualification of at least level 4 (i.e. Compliance Diploma or equivalent, ICA Diploma, IMC, PCIAM) or equivalent
• Ability to work with stakeholders at all levels of the business.
• Team player, supporting both your colleagues and managers in delivering business in line with regulatory requirements.
• Good verbal and written communication skills.
• Good presentation skills.
• A practical understanding of Excel spreadsheets, access databases and web-based applications.
• Expert Knowledge
• Performance Focus
• Team Working
• Influencing Others
• Problem Solving and Judgement
• Communication and Confidence