Interim Financial Crime Officer – Asset Management – 31st May 2019

Our client a leading Asset Management Firm are looking for an Interim Compliance Officer to cover 12 months Maternity leave.



To ensure compliance with relevant laws, rules, regulations and internal Group policies applicable to the Firm, and to provide assistance to the business line with regard to matters relating to:


  1. Financial Crime, Anti-Money Laundering (“AML”)
  2. Sanctions
  3. Corporate and Investment Compliance


  1. Financial Crime Prevention, AML, ABAC:
  • Provision of financial crime prevention, AML and ABAC advice to the business;
  • Review and perform analysis of high-risk clients and business relationships from an AML perspective;
  • Review and implement new economic sanctions regimes (e.g. new Russia sectoral sanctions);
  • Oversight of outsourced activities and functions for AML and customer due diligence (CDD)
  • Preparation of reporting for the MLRO and senior management;
  • Review financial crime prevention, AML, ABAC, and economic sanctions training materials and provide classroom-based training as required;
  • Monitoring to ensure that all applicable procedures are followed by the business;
  • Ensure AML and Customer Due Diligence documentation for all new clients are compliant with the firm’s policies and applicable regulatory requirements;
  • Completion of risk assessments;
  • Client and counterparty reporting;
  • Keep abreast of applicable regulatory developments and update relevant policies as required;
  • Prepare and submit FCA and other regulatory returns related to financial crime.


  1. Sanctions
  • Keep abreast of sanctions developments and update relevant policies and trading restrictions
  • Advice in relation to the application of sanctions in conjunction with RBC Sanctions Group


  1. Corporate and Investment Compliance
  • A strong understanding and knowledge of fixed income market practices, market abuse and conduct of business matters affecting asset managers.
  • A strong understanding of information barriers.
  • A good understanding of the both public and private fixed income markets
  • An ability to work autonomously on discrete Compliance projects related to either regulatory developments or compliance system implementations.
  • The ability to work globally with the compliance business line
  • Undertaking thematic reviews and tests as required
  • Comfortable providing real time compliance advice and making decisions



Contact Details

Name: Emma Karslake


Number: 0203 7780309

Posted: 31st May 2019

Ref: RSEKK10996