A Commodities Trading House is looking for an experienced Financial crime professional to join their compliance and Financial crime team. This will be a broad Financial crime Role that will have great exposure across the business and will support the head of Financial crime, they are looking for someone that is inquisitive that can work independently and as part of the wider Financial crime team.
The Financial Crime Officer provides additional dedicated Financial Crime resource within the Compliance team. They deal with all aspects of financial crime prevention.
- Assisting with the day-to-day financial crime prevention effort, including but not limited to - AML, CTF, KYC, ABAC, Sanctions and Fraud.
- Providing Financial Crime guidance and support to the front office.
- Delivering on items on the Financial Crime implementation plan and roadmap.
- Conducting Financial Crime quality assurance and monitoring programs.
- Conducting high risk client reviews, and EDD investigations.
- Assisting the Head of Financial Crime in completion of Financial Crime management information and ad-hoc reports.
- Assisting with Financial Crime investigations and escalations.
- Liaising with on-boarding and providing support and guidance when required.
- Assisting with extracting and interrogating data to complete annual Financial Crime reviews.
- Working closely with the documentation team to address issues and concerns and provide advice and guidance when required.
- Assisting with the implementation and development of Financial Crime and Compliance training needs analysis.
- Reporting and escalating non-compliance with applicable policies, i.e. to the Head of Financial Crime and Head of Compliance & MLRO as appropriate.
- Working alongside the Compliance Team to ensure on-going development and maintenance of an effective Compliance function, taking an active part in team meetings, and participating in business planning.
Skills & Qualifications
- Investment Banking or Brokerage experience required
- Experience of working in a dedicated financial crime compliance role
- Good working knowledge of Financial Crime regulation and legislation.
- Good working knowledge of FCA regulation and industry guidance.
- Ability to read and assess applicability of relevant regulation and legislation
- Proficient in use of Microsoft Office (Word, Excel and PowerPoint)
- Ability to extract and interrogate data
- Excellent report writing and other communication skills