Description
Provide day-to-day management for a team of up to seven Compliance Officers
Act as a direct point of escalation for all financial crime-related referrals such as sanctions, AML, KYC and PEPs for the team
Provide support, advice and opinion to the relevant client-facing areas of the firm including, but not limited to, Fixed Income, Equity & Derivatives, Commodities, and Corporate Finance in CIB London Branch on all financial crime matters
Act as the oversight for all MI-related submissions, not only those to UK Management but also all Head Office reporting ensuring its accuracy, effectiveness and that it is produced in a timely manner
Manage the high risk client approval process by reviewing all high risk client analysis undertaken by the team and attending, in the absence of Line Management, as the London Compliance representative, the High Risk Client Acceptance Committee
Undertake analysis of and provide detailed reports, opinion and advice to Management and Head Office as necessary on all sanctions-related referrals to the team
Ensure robust implementation of Policy and procedures
Act as the appointed delegate to the UK MLRO in any given situation
For a confidential conversation or for more information please contact Martin Joyce.