CLSA UK | Compliance Manager, Financial Crime, Compliance

Responsibilities

• This role is responsible for overseeing the firm’s financial crime prevention framework, ensuring compliance with FCA regulations and internal policies.
• The role also includes monitoring screening systems and assisting with investigations and SAR submissions.
• Assisting with developing and maintaining the firms AML and financial crime policies in line with evolving statutory and regulatory obligations.
• Ensuring that firm’s clients and associated individuals are screened regularly against sanction lists and for any PEPs, disciplinary action and adverse media and appropriate action taken.
• Developing and maintaining appropriate risk-based monitoring processes that are proportionate to the scale, nature and complexity of the firm’s operations.
• Assisting with internal suspicious activity reports and investigations including SAR preparation and submitting to the NCA as necessary.
• Ensuring that all relevant staff are adequately trained in financial crime prevention, that the standards and scope of the training is appropriate and that training records are kept.
• Assisting with Financial Crime governance meetings.
• Liaising with Group and Head Office departments to maintain and develop AML policies and procedures globally, including participation in the Global Financial Crime Committee (GFCC).
• Assisting the CLSA Europe Compliance team in Financial Crime matters.
• Adhere to FCA regulations and the CLSA code of conduct at all times.
• Taking a key role in the client On-boarding process carrying out an advisory, review and approval function particularly in regard to higher risk clients

Requirements

• Knowledge of, and adherence to, the Company’s Environmental Management Systems and policies.
• Minimum 7 years of relevant experience in financial crime or KYC role.
• Understanding of applicable UK, European and Global regulation and legislation relating to financial crime and client onboarding with a motivation to expand that knowledge.
• Strong analytical and quantitative, interpersonal, organizational, problem-solving skills.
• Able to work independently, strong attention to detail with a proactive mindset, a team player.
• Excellent command of / fluent in both spoken and written English.
• Certified as / Licensed with Financial crime related qualifications would be a plus.

CLSA UK

CLSA UK is an employer hiring in India (sector: BFSI / Investments / Insurance).

Its finance, accounts, audit and tax openings in India are mostly in London.

• Industry: BFSI / Investments / Insurance