Description
Great opportunity to join a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. This is a newly created position based in Glasgow and would suit an experience Financial Crime/AML/Regulatory Compliance professional wanting to move into a forward thinking, innovative business where you are able to add value to the organisation.
This position sits within the Global Financial Crimes team and coordinates the day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight and execution of the Firm’s Anti-Money Laundering, economic sanctions and anti-corruption policies. The team also develops FC policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity. Key responsibilities will include:
- Conduct testing to review and assess the effectiveness of the Firm’s AML policies and procedures and controls
- Define test scope and design specific testing steps for each applicable area of review
- Communicate test results, present identified issues to the business, work with the business to develop and implement a plan of corrective action and prepare written reports
- Track status of corrective action plans agreed upon with the business
- Maintain detailed and organized documentation of work product
- Coordinate with other professionals in the organization, including Compliance advisory teams, other Compliance Monitoring and Testing Groups and Internal Audit
- Remain current on industry rules, regulations and best practices to help ensure that the testing program meets regulatory standards
To be considered for the role you will ideally have a background in Financial Crime, Regulatory Compliance or Compliance testing with a good understanding of KYC/UK Money Laundering Regulations. You will have demonstrable written communication skills and attention to detail and it is preferable that you have an AML / Financial Crime qualification.
For more information or to discuss in more detail, please call Georgina Millyard on 07850766965 or email [email protected]