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
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 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.

  • Management of the delivery of client engagements against Protiviti's standards for engagement management including:
    • Managing Protiviti and client staff
    • Project and programme planning and tracking
    • Development and quality assurance of engagement deliverables
    • 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
  • Marketing and enhancing Protiviti's profile in the Financial Services market through:
  • Excellent delivery and client management on engagements
  • Development of client opportunities and relationships within engagements
  • Maintaining client contacts made through the course of the candidates career
  • Identification of engagement opportunities
  • Promoting Protiviti's values and philosophies

  • 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 [GE(1] experience in a related field, preferably in professional services and/or industry
  • A relevant professional qualification such as CAMS

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