Risk & Compliance Manager - Anti-Financial Crime

London, United Kingdom
06 May 2022
05 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
RISK & COMPLIANCE Protiviti's risk and regulatory compliance practice in London has a strong focus on Financial Services - insurance, retail, private, commercial and investment banking, securities trading, investment management, wealth management and market infrastructure- but also serves the payment, legal and other industries subject to FinCrime regulations.

The Anti-Financial Crime team regularly deliver the following services to clients:
  • Regulatory projects in many areas including Know Your Customer (KYC), transaction monitoring, sanctions, anti-bribery and corruption, fraud, etc.
  • Designing and supporting the Compliance function (e.g. Compliance Assurance)
  • Designing and implementing financial crime risk frameworks
  • Policy and procedure development and implementation
  • Remediation programmes
  • Independent Audits of AML/Anti-Financial Crime programmes
  • Preparing for supervisory / thematic visits
  • Skilled person review and reports (s166)
  • Anti-Financial Crime automation development and implementation
  • Governance - design and review The following statements are intended to describe the general nature and level of work being performed. This is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel.


The role as Manager is key in the delivery of Risk and Compliance (R&C) advisory/consulting engagements and to extend Protiviti's relationships across the financial sectors.

General Duties and Tasks:
  • Management of the delivery of client engagements against Protiviti's standards for engagement management including: o Managing Protiviti and client staff o Project and programme planning and tracking o Development and quality assurance of engagement deliverables o Reporting and presenting to senior client and Protiviti staff of project deliverables, status and risk
  • Assistance with the development of engagement methodology and procedures
  • Enhance technical and operational knowledge through coaching from team and industry specific training/ seminars/ forums and ensure knowledge sharing with team members.
  • The development of proposals and bid materials for client advisory/ consulting engagements primarily within the R&C team
  • Development of Protiviti thought leadership including blogs, point-of-view papers, FAQs and other marketing materials

  • Knowledge and experience in interpreting and implementing Money Laundering rules and regulations across key markets including the UK, EU, US, Hong Kong and Singapore.
  • Experience developing risk-based frameworks, policies, procedures that promote best practice for UK, regional and/or global regulatory standards
  • Significant practical experience in assessing AML risk through Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) through maker/checker or Quality Control / Quality Assurance or Audit role(s)
  • Contributed to the selection, implementation of or experience with FinCrime technology (e.g., case management systems, transaction monitoring systems, watch list screening systems)
  • Involvement in the set-up of AML remediation programmes and/or in the review investigation of AML systems and controls and remediation programmes
  • Contributed to the design and implementation of target operating models for an effective AML/Financial Crime function
  • Experience of Transaction Monitoring, Sanctions, Fraud and Anti-bribery and Corruption
  • In-depth experience of one or more segments of the Financial Services Market and a deep knowledge and understanding of the organisations and roles within
  • Excellent verbal and written communication skills
  • Strong team player and presentation skills
  • Demonstrate a highly professional approach to the work environment.

  • Experience in leading/overseeing transaction monitoring investigation teams and processes
  • Experience with AML/FinCrime data analytics and/or automation
  • Experience in AML/FinCrime Audit, assurance or s166 review
  • A first class track record of client service delivery. Candidates must have a deep understanding of the risks impacting the FSI sector
  • Experience within Advisory Consulting firms, with a specialism within compliance governance and control, internal audit, or an experienced compliance professional within any of these functions in a leading FS or payment firm, the FSA, or a trade association

  • Bachelor's degree in a relevant discipline; minimum 2:1 (or international equivalent)
  • High grades at GCSE and A-Level (typically at least an A and 2 B's at A-level) or equivalent
  • 5+ years experience in a related field, preferably in professional services and/or industry
  • A relevant professional qualification such as CAMS ABITLITY TO TRAVEL
  • Travel throughout engagements required at times based on client requests/commitments (COVID dependent)

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