To act as a support to the Head of Compliance to cover all aspects of AML/CDD, Regulatory and
Compliance issues that affect the London Branch. To help promote a compliance culture within
the Branch and to carry out such ad hoc projects as may be reasonably be requested by the Head
of Compliance, Risk and Internal Controls.
The day-to- day:
Help manage the Compliance Monitoring Program, you will be key to performing gap
analysis to identify areas for improvement;
Be involved in the annual review of Global Policies to perform a business impact analysis,
identify areas of improvement as it relates to the business and propose policy and
procedure updates based upon assessment results;
Assist in compiling and responding to due diligence inquiries;
Coordinating regulatory exams and training of group staff;
Assist in developing reporting of priority metrics for reporting to senior management and
Serve as Secretary to the Compliance Committee;
Keeping abreast of regulatory developments that impact the business globally;
Completion of client identity records and updating of associated client PEP/Sanction and
high risk customer screening logs;
Assisting the team with transaction monitoring, Sanctions/PEPs screening
Involvement in various ad-hoc compliance requests or projects.
Education and experience required
Compliance accreditation (CISI, ICA or equivalent);
Law degree would be great or else University degree.
Experience with MiFID II implementation;
Knowledge on AML Software solutions: Actimize/Nice solution.
Knowledge and Skills:
Minimum 2 to 4 years experience;
Demonstrable understanding of the FCA's Handbook;
Strong analytical background for the analysis of large volumes of date;
Financial Crime/ AML experience;
Must have good report writing experience;
Excellent communication skills, written and verbal communications.
Portuguese language would be an advantage.