Head of Financial Crime/MLRO- Asset Management- 02/09/19
Our client a leading Asset Management firm is looking for a Head of Financial Crime/MLRO.
The Head of International Anti-Financial Crime will be the leader and subject matter expert for the Europe & APAC regions on Financial Crime. She/he will work with the business to entrench and enhance existing systems and controls relating to AML/KYC, ABC, CTF and CCO. The individual will be the registered MLRO for UK entities, whilst also serving as a central point of contact, coordination, and excellence relative to Compliance colleagues with Financial Crimes responsibilities in Europe and APAC.
The Compliance function provides advice to senior management on queries and regulatory change as well as providing independent monitoring to ensure the business continues to operate within the appropriate regulatory standards, internal policies and industry norms.
- Continue with the evolution and delivery of a comprehensive, risk-based Financial Crime framework for the Europe & APAC businesses;
- Assist the business in identifying emerging financial crime risks and what mitigants can be put in place as controls;
- Establish a good understanding of the clients, counterparties and service providers across the relevant businesses;
- Undertake assessments and reviews of transactions and client onboarding including PEP and Sanction screening;
- Undertake periodic reviews of Transfer Agents and other key third party relationships;
- Liaise with Compliance colleagues in other Europe & APAC offices and provide them with an additional expertise and assistance;
- Lead the Financial Crime Enterprise Wide Risk Assessment
- Provide reporting to senior management, boards on matters relating to Financial Crime;
- Work with AML team in adopting centralized systems and processes that meet local regulatory expectations;
- Investigate and, when required, make Suspicious Activity Reports to National Crime Agency;
- Attend industry seminars and association meetings on Financial Crime topics to ensure continued adoption of best practice;
- Develop online training modules and provide class room training to the business on the regulations, policy requirements, procedures and staff obligations;
Technical Skills & Qualifications Required
· Demonstrated subject matter expertise in the regulatory requirements and industry
· Practices in regard to AML/KYC, ABC and preferably CCO, and experience in establishing, enhancing and maintaining a robust Financial Crime programmer.
· Experience of compliance working in an institutional asset management business
· Experience of working collaboratively across multiple jurisdictions with Compliance colleagues strongly preferred
· Compliance related qualification desirable.
· Requirements would be desirable.
· Excellent organization skills, including the ability to prioritize work.
· Highly effective interpersonal skills, resulting in the ability to liaise with all levels of staff and management.
· Strong written and verbal communication skills
Name: Alexia Brodie Cooper
Number: 0207 183 0070