Protiviti (www.protiviti.com) is a global business consulting and internal audit firm composed of experts specialising in risk and advisory services. Protiviti leads specific projects initiatives and facts as a subject matter expert. The firm helps clients solve problems in finance, operations, technology, litigation, governance, risk, and compliance. Protiviti's highly trained, results-oriented professionals serve clients in the Americas, Asia-Pacific, Europe and the Middle East and provide a unique perspective on a wide range of critical business issues.
Protiviti’s risk and regulatory compliance practice in London has a strong focus on Financial Services – insurance, retail, private, commercial and investment banking, securities trading, investment management, wealth management and market infrastructure- but also serves the payment, legal and other industries subject to FinCrime regulations.
The Anti-Financial Crime team regularly deliver the following services to clients:
- Regulatory projects in many areas including Know Your Customer (KYC), transaction monitoring, sanctions, anti-bribery and corruption, fraud, etc.
- Designing and supporting the Compliance function (e.g. Compliance Assurance)
- Designing and implementing financial crime risk frameworks
- Policy and procedure development and implementation
- Remediation programmes
- Independent Audits of AML/Anti-Financial Crime programmes
- Preparing for supervisory / thematic visits
- Skilled person review and reports (s166)
- Anti-Financial Crime automation development and implementation
- Governance – design and review
The role as Manager is key in the delivery of Risk and Compliance (R&C) advisory/consulting engagements and to extend Protiviti’s relationships across the financial sectors.
GENERAL DUTIES AND TASKS:
- Management of the delivery of client engagements against Protiviti’s standards for engagement management including:
- Managing Protiviti and client staff
- Project and programme planning and tracking
- Development and quality assurance of engagement deliverables
- Reporting and presenting to senior client and Protiviti staff of project deliverables, status and risk
- Assistance with the development of engagement methodology and procedures
- Enhance technical and operational knowledge through coaching from team and industry specific training/ seminars/ forums and ensure knowledge sharing with team members.
- The development of proposals and bid materials for client advisory/ consulting engagements primarily within the R&C team
- Development of Protiviti thought leadership including blogs, point-of-view papers, FAQs and other marketing materials
- Marketing and enhancing Protiviti’s profile in the Financial Services market through:
- Excellent delivery and client management on engagements
- Development of client opportunities and relationships within engagements
- Maintaining client contacts made through the course of the candidates career
- Identification of engagement opportunities
- Promoting Protiviti’s values and philosophies
ESSENTIAL SKILLS AND EXPERIENCE
- Knowledge and experience in interpreting and implementing Money Laundering rules and regulations across key markets including the UK, EU, US, Hong Kong and Singapore.
- Experience developing risk-based frameworks, policies, procedures that promote best practice for UK, regional and/or global regulatory standards
- Significant practical experience in assessing AML risk through Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) through maker/checker or Quality Control / Quality Assurance or Audit role(s)
- Contributed to the selection, implementation of or experience with FinCrime technology (e.g., case management systems, transaction monitoring systems, watch list screening systems)
- Involvement in the set-up of AML remediation programmes and/or in the review investigation of AML systems and controls and remediation programmes
- Contributed to the design and implementation of target operating models for an effective AML/Financial Crime function
- Experience of Transaction Monitoring, Sanctions, Fraud and Anti-bribery and Corruption
- In-depth experience of one or more segments of the Financial Services Market and a deep knowledge and understanding of the organisations and roles within
- Excellent verbal and written communication skills
- Strong team player and presentation skills
- Demonstrate a highly professional approach to the work environment.
DESIRABLE SKILLS AND EXPERIENCE
- Experience in leading/overseeing transaction monitoring investigation teams and processes
- Experience with AML/FinCrime data analytics and/or automation
- Experience in AML/FinCrime Audit, assurance or s166 review
- A first class track record of client service delivery. Candidates must have a deep understanding of the risks impacting the FSI sector
- Experience within Advisory Consulting firms, with a specialism within compliance governance and control, internal audit, or an experienced compliance professional within any of these functions in a leading FS or payment firm, the FSA, or a trade association
EDUCATIONAL & PROFESSIONAL CREDENTIALS REQUIRED
- Bachelor’s degree in a relevant discipline; minimum 2:1 (or international equivalent)
- High grades at GCSE and A-Level (typically at least an A and 2 B’s at A-level) or equivalent
- 5+ years [GE(1] experience in a related field, preferably in professional services and/or industry
- A relevant professional qualification such as CAMS