Financial Crime Analyst – Wealth management

THE COMPANY:

Our client is a UK-leading investment firm, specialising in private client services.

Financial Crime Framework:

• Provide subject matters expertise for AML escalations including new client onboarding cases.
• Assist in AML enhancement deliverables including embedding of new AML periodic review framework within 1st line including training and support.
• Provide guidance on queries relating to new or existing clients with overseas connections.
• Assist with teams AML periodic review schedule of high-risk clients.
• Assist with daily cash monitoring and Source of Funds/Source of Wealth checks.
• Assist with review of payment flags escalated via the accounts department.
• Review and escalte AML “trigger events” to DMLRO.
• Review, discount, escalated daily client ongoing screening flags in Smart search.
• Assist with AML escalations on an advisory basis. This will also include helping with onboarding escalations and reviewing new client cases.
• Assist in data collation/stats to submit relevant regulatory disclosures and management information.
• Assist with management information and reports.
• Assist with maintenance of AML record keeping such as AML client risk registers and disclosure logs.
• Assisting colleagues, DMLRO with maintenance of the AML risk appetite framework and relevant risk assessments.
• Assist in developing and embedding AML policies and procedures within the firm to ensure they remain in line with regulatory expectations.
• Provide assistance and support to market abuse function including Liquid Metrix surveillance.

General Compliance & Reporting:

• Assist in various aspects of Department’s administration, providing cover and support to other members of the Compliance team when necessary, including financial promotions, breaches register and due diligence questionnaires.
• Assist with the Complaints reporting process and associated reporting.

Special Projects:

• Carry out and assist with special projects as required.

Personal Conduct:

• Ensure that the firm’s clients and staff are always treated fairly and responsibly, with respect and consideration
• Work within the regulatory and the Firm’s compliance framework
• Maintain own professional competence through training and course work

• Experience in an AML or related role at a wealth management firm or similar organization.
• Understanding of the scope of the UK Regulatory Environment and practical experience of applying knowledge, gained in a relevant role.

For further information please contact Hannah Tabatabai