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| Job Location | London |
| Education | Not Mentioned |
| Salary | £35,000 - £40,000 per annum |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent, full-time |
Provide compliance monitoring and advice on all relevant financial crime issues primarily for the firms Investment Management Division.Client DetailsThe firm provides tailored financial and professional services to private clients and their business interests.Today, the firm is one of the largest independently owned investment managers in the UK.Description· Sanctions/PEP/Enforcement Screening - Managing the alerts resulting of the screening new and existing clients, and payments, against Financial Sanctions, PEP and Enforcement lists ensuring that all potential matches are promptly investigated and escalated when required.· AML - Deal with enquiries about non-standard AML verification issues (including CIFAS). Review and approve EDD for higher-risk potential clients, escalating concerns to the Senior Financial Crime Officer, Associate Director or Deputy MLRO/MLRO as appropriate. Provide advice and assistance in respect of the application of AML requirements to client-specific scenarios.· Investigation and reporting of suspicious activity.· Ongoing Enhanced Due Diligence - Enhanced ongoing monitoring of higher-risk clients (i.e. clients residing in jurisdictions outside of the approved low risk list, PEPs and any other clients that have been deemed higher risk by Financial Crime).· Management Information - Support in the population of data for monthly compliance reports, financial crime dashboards and any other ad hoc reports when required.· Financial Crime policies and procedures - Maintenance of all financial crime registers and logs to ensure accurate record keeping.· Market Abuse - Ensure that consistent and accurate monitoring for potential market abuse is completed, including investigating alerts from the trade surveillance system.· Retail Client file reviews - Reviewing client files to ensure they contain all appropriate documentation and adhere to FCA requirements and internal policies and procedures.· General advice - Assist with providing appropriate, consistent advice on financial crime matters to line management and staff, escalating issues as necessary.Profile· Knowledge of AML legislation, JMLSG Guidance Notes, FCA rules, particularly SYSC and the Market Abuse provisions, and the Financial Crime Guide.· Experience of investment management and stockbroking businesses, preferably at least two years.· Good inter-personal skills and a determined and proactive approach.· An industry qualification would be an advantage, or willingness to undertake relevant study.· Willingness to maintain up-to-date knowledge of the rules, regulations and guidance in respect of all aspects of financial crime.· Good inter-personal skills, with a determined and proactive approach.Job OfferUp to £40,000 annual salarySupport for qualificationsCompany benefits package Required skills
Keyskills :
Financial Crime Officer / Investment Management / Wealth Management