Financial Crime Compliance Director

Investigo Compliance
London, United Kingdom
£75k - £100k
15 Nov 2022
15 Dec 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Financial Crime Compliance Director - Investment Banking

London. Hybrid.

Are you someone who is passionate about providing Financial Crime advice? This role is a natural leader and has a keen interest in the evolving regulatory requirements across the Investment Banking space. Reporting into the Deputy Head of Financial Crime Compliance, you will be responsible for manging members of the team whilst also leading on various advisory workflows. You will have oversight of the Financial Crime program and act as the primary point of contact for SMEs across the business.

  • Oversight of the branch financial crime program through multiple workflows and internal processes;
  • Ensuring that the business is fully compliant with the provisions of all relevant legislation;
  • Acting as the UK primary point of contact and subject matter experts (SME) for the businesses and Group with regards to financial crime matters;
  • Ensuring Senior Management is kept informed of updates and the general financial crime risk framework of the branch.
  • Team Management - manage task allocation across advisory workflows, ensure adequate team coverage across relevant workflow/s; conduct hiring, appraisals & objectives for direct reports; oversee HR-related issues and general management responsibilities for direct reports;
  • Opinion Workflow Management - monitor advisory workflows; provide regular and ad hoc management information and analysis on trends, challenges and achievements; contribute to and/or deliver management information to senior management and London committees; escalate to Senior Management where required;
  • Enhanced Due Diligence (EDD) Advisory - provide opinions and assessments, from a financial crime perspective, on higher risk clients, credit requests, transactions and financial crime/sanctions alerts. This includes management of live payments;
  • Risk Assessments - Lead, complete and/or contribute to the annual enterprise-wide risk assessments. Lead on any actions stemming from the assessment where required;
  • Committees - Present to and/or participate to London committees such as the Credit Committee and Financial Crime Committee;
  • Audits - Lead and/or assist in the preparation for and response to internal and external audits. Participate in audit interviews and implementation of post-audit action points. This may include translating lessons learned into procedures and issuing communication to relevant stakeholders;
  • Projects - Lead and/or assist on some local and group projects across the multiple work streams. This may include representing FCC in working groups, leading local projects, working with various stakeholders (internal / external) and attending events;
  • Training - Lead and/or assist in the development and delivery of some local training initiatives;
  • SME Escalation Point - Provide financial crime subject matter expert (SME) guidance and support to stakeholders across the London branch as well as non UK stakeholders. This includes providing guidance on internal rules and requirements as outlined in relevant policies and procedures;
  • Other - Ad hoc and new tasks as required within the FCC London team

  • Practical experience working within a financial crime function for a corporate/investment bank;
  • Practical 2LoD experience in advising on Financial Crime matters on corporate/investment banking clients and products (international trade including trade finance, corporate financing, transaction banking, capital markets);
  • Experience in assessing and opining on complex financial crime incl. sanctions matters/transactions, including the necessity to escalate, when appropriate;
  • Experience in working effectively with multiple key stakeholders to tight deadlines.
  • Strong analytical skills with excellent attention to detail;
  • Strong decision making skills, including the ability to draw conclusions on complex matters and recognise the need for escalation, when appropriate;
  • Resilience and ability to work under pressure;
  • Flexibility and adaptability to change;
  • Ability to work independently, with minimal supervision and act on own initiative to identify tasks to be undertaken and risks to be managed;
  • Ability to share responsibilities, skills and experience with other team members; great team player;
  • Clear and concise verbal and written communication.
  • Detailed knowledge and application of UK Money Laundering Regulations, JMLSG and FCA guidance;
  • Good working knowledge of UK, EU, US Sanctions regimes
  • Good understanding of investment banking products/services, including trade finance, international trade, finance and capital markets products;
  • Experience managing staff (also in an informal setting).
  • Experience working with money laundering / payments filtering / customer screening software;
  • Produced and delivered financial crime training to various stakeholders;