EMEA Financial Crime Monitoring Manager Job
EMEA Financial Crime Monitoring Manager (Job Number: 1314373)
Description
To develop, manage and undertake Compliance Monitoring activities;
Assist the EMEA Group MLRO in fulfilment of statutory and regulatory obligations as required under relevant legislation and regulation;
Assist the EMEA Group MLRO in fulfilment of BNYM policy obligations in respect of oversight of non UK legal entities and businesses;
Attend and participate in meetings with and/or on behalf of the EMEA Group MLRO.
Principal Responsibilities:
Compliance Monitoring
Responsible for development and maintenance of a risk based Compliance Monitoring Plan related primarily to anti-money laundering, terrorist financing, bribery and corruption, fraud and other financial crime. The Plan to provide comprehensive monitoring coverage of UK and EMEA business operations across all legal entities.
Act as primary point of liaison with US Compliance in respect of monitoring related activity.
Completion of reviews scheduled in the Plan; undertaking reviews along with other members of the team.
Ensuring that all regulatory and BNYM policy requirements are adhered to in connection with reviews and that all reviews are fully and comprehensively completed.
Develop and maintain standards of completion for each review, including: terms of reference, working papers, report structure and evidence.
Prompt and comprehensive completion of review records in GCMS (BNYM monitoring platform) for each review.
Ensure timely completion of a full and comprehensive report for management review, discussion and approval.
Tracking implementation of agreed review recommendations within agreed timeframes, escalating incomplete activity as appropriate .
Obtain evidence on completion of recommendations and re-test where required / as deemed necessary.
Escalating significant issues identified to EMEA Group MLRO.
Providing regular updates as required on EMEA monitoring activities and significant issues and tracking to the applicable Legal Entity Boards, EMEA Governance Committees and EMEA Anti-Money Laundering Oversight Committee (EAMLOC).
Ensure the annual review plan is agreed in advance with Asset Management boutiques and relevant staff in Germany, Belgium (including Branch offices), Ireland, Luxembourg, Pune and Dubai. Agree dates for completion of reviews in locations noted above.
Oversee specific monitoring activities undertaken in UK Asset Management boutiques and Germany, Belgium, Ireland, Luxembourg, Dubai and Pune ensuring that scheduled reviews are undertaken and completed in a timely manner.
Undertake quarterly reviews of monitoring completion, reviewing records in GCMS and monitoring papers to ensure adequate
Ensure findings have been appropriately recorded and escalated.
Other
Participation in projects and other tasks as directed by EMEA Group MLRO
Keep up-to-date with AML related developments and issues
Provide general support to fellow AML Officers as required and also compliance and AML support to other team members.
Contribute to the development and improvements of procedures, processes, training modules.
Comply with all corporate policies and procedures within the department;
Alert management immediately of any significant changes to business risks and internal controls effectiveness;
Notify management immediately of any regulatory breach;
Comply with health and safety policies and procedures operating within the business.
Core Competencies:
Adaptability;
Communication;
Customer Orientation;
Interpersonal Skills;
Judgment;
Managing Risk.
Job Specific Competencies (please refer to the Competency Guide on the HR Intranet)
Investigative and questioning nature:
Excellent inter-personal skills;
Excellent organisational skills;
Ability to manage and prioritise workload;
Ability to communicate orally and in writing with various levels of management.
Qualifications
Technical Skills, Knowledge, Systems Knowledge (and associated skill level)
- Strong analytical skills, problem-solving ability and attention to detail;
- Demonstrable knowledge of current UK Financial Crime deterrents and initiatives;
- Working knowledge of UK AML regulations and JMLSG Guidance Notes.
- Excellent IT skills (in particular Microsoft Office)
Academic/Professional Qualifications (or equivalent qualifiers)
- At least 5 years related experience
- Basic education to at least A level/Scottish Highers
.
Primary Location: London, London, GB
Internal Jobcode: 50343
Job: Audit/Compliance/Risk
Organization:
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