Financial Crime Analyst – Wealth management

THE COMPANY: Our client is a UK-leading investment firm, specialising in private client services. THE RESPONSIBILITIES: Financial Crime Framework: Provide subject matters expertise for AML escalations including new client onboarding cases. Assist in AML enhancement deliverables including embedding of new AML periodic review framework within 1st line including training and support. Provide guidance on queries relating to new or existing clients with overseas connections. Assist with teams AML periodic review schedule of high-risk clients. Assist with daily cash monitoring and Source of Funds/Source of Wealth checks. Assist with review of payment flags escalated via the accounts department. Review and escalte AML “trigger events” to DMLRO. Review, discount, escalated daily client ongoing screening flags in Smart search. Assist with AML escalations on an advisory basis. This will also include helping with onboarding escalations and reviewing new client cases. Assist in data collation/stats to submit relevant regulatory disclosures and management information. Assist with management information and reports. Assist with maintenance of AML record keeping such as AML client risk registers and disclosure logs. Assisting colleagues, DMLRO with maintenance of the AML risk appetite framework and relevant risk assessments. Assist in developing and embedding AML policies and procedures within the firm to ensure they remain in line with regulatory expectations. Provide assistance and support to market abuse function including LiquidMetrix surveillance. General Compliance & Reporting: Assist in various aspects of Department’s administration, providing cover and support to other members of the Compliance team when necessary, including financial promotions, breaches register and due diligence questionnaires. Assist with the Complaints reporting process and associated reporting. Special Projects: Carry out and assist with special projects as required. Personal Conduct: Ensure that the firm’s clients and staff are always treated fairly and responsibly, with respect and consideration Work within the regulatory and the Firm’s compliance framework Maintain own professional competence through training and course work EXPERIENCE REQUIRED: Experience in an AML or related role at a wealth management firm or similar organization. Understanding of the scope of the UK Regulatory Environment and practical experience of applying knowledge, gained in a relevant role. For further information please contact Hannah Tabatabai #J-18808-Ljbffr