Description
To support the Head of Financial Crime Surveillance with the desk-based monitoring of Cash Equities proprietary and customer activity/transactions with a view to the identification of unusual and/or suspicious activity, the investigation of such instances and escalation as appropriate.
Main Responsibilities
- Manual review of Cash Equities proprietary and client trading (in relation to activity that may be indicative of money laundering/terrorist financing or market abuse).
- Conduct thorough investigations of potentially suspicious activity by liaison with appropriate front and Back Office staff and the interrogating of applicable bank systems.
- Maintain complete and accurate records of investigations and the outcome.
- Update Know Your Customer information where applicable as a result of the investigations undertaken.
- Escalate to the Head of Financial Crime Surveillance any instances of suspicious or unusual activity.
- Provide support to the Head of Financial Crime Surveillance on ad hoc projects.
- Provide support to the Financial Crime Surveillance Team when required.
- Provide support in respect of the Bank's sanctions management framework.
- Update/develop policies and procedures to ensure that the bank complies with current legislation and regulation requirements
- Assist the Head of Financial Crime Surveillance with the administration of the Financial Crime Surveillance system.
- Other tasks and duties that may arise as the nature and role of the FCS team develops.