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Financial Crime Controls Officer

Shawbrook Bank
Job LocationGlasgow
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

The RoleThe Financial Crime Controls Officer is a 1st line of defence role, to support the business in the prevention, detection and investigation of financial crime issues, including money laundering, fraud (internal and external), market abuse, bribery & corruption and other regulatory malpractice, as well as the remediation of related regulatory processes such as AML, Politically Exposed Persons (PEPs) and sanctions etc.The Financial Crime Controls Officer will providing guidance and input to businesses on financial crime matters, communicate and cooperate with the 2nd line of defence, undertake relevant quality control testing and support and coach to the teams in ensuring the necessary "Know Your Customer" and "Customer Due Diligence" procedures are carried out on all clients.We have the flexibility to base this role in either our Brentwood, Redhill, Newport or Glasgow office.Responsibilities

  • Provide guidance on the application of Financial Crime policies, including (but not limited to) AML, Fraud (internal and external), Anti-Bribery & Corruption along with appropriate remedial action/best practice to ensure we meet our financial crime obligations.
  • Support best practice in financial crime controls by promoting a positive culture of financial crime prevention and promoting high standards across all business areas. Ensuring staff are aware of and are competent in implementing the relevant financial crime policies and procedures.
  • Ensure that all relevant investigations are completed within timescales. Undertaking relevant checks directly with clients, the 2nd line of defence Financial Crime Compliance Team and/or Law Enforcement Agencies where appropriate.
  • To build and maintain a monthly MI reporting suite of all financial crime related matters.
  • To refer any unusual or especially complex issues to our central Financial Crime Compliance Team, explaining the issue, making recommendations and being able to communicate back findings to the relevant team.
  • Timely completion of ongoing PEP/Sanction monitoring and ensuring transactional monitoring reviews are undertaken.
  • To provide input into a periodic financial crime bulletin and/or training, including relevant case studies either within the business or national and internationally reported cases
  • Ensure all relevant Quality Control Testing is undertaken in a robust and timely manner.
  • To be flexible with responsibilities and have a positive attitude towards any changes to role, company/departmental objectives, priorities, and targets.
  • Pro-active management of Dormancy/Unclaimed Balance Account ensuring that correct actions are taken on the account to restrict any possible financial crime.
  • Maintain effective relationships with the management, team leaders and staff to ensure that the key aims of the Bank are achieved.
    • The Person
  • Hold/commit to studying/obtaining an appropriate professional qualification: - ICA Certificate in Financial Crime Prevention /Anti-Money Laundering/ACAMS.
  • Proven financial crime experience gained within a financial services environment.
  • Good product and sector knowledge of the broad financial services regulatory regime.
  • Most likely to have a compliance or controls function background or detailed knowledge and exposure to quality, risk and compliance matters.
  • Understanding of quality control requirements in financial services operations for both phones and back office processes.

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