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THE COMPANY:

Our client is a well known Stockbroker based looking with exciting growth plans. They are currently seeking an AML Analyst to join their London based Offices.

THE RESPONSIBILITIES:

• To work closely with the MLRO to provide support and advice to all aspects of financial crime and to ensure that the business complies with all FSA rules, legislation and internal procedures, relating to financial crime, including money laundering, market abuse, terrorist financing and fraud.
• Assist with the ongoing development, maintenance and implementation of the Groups financial crime framework;
• Assist with the review and approval aspects of the client take-on process of Anti-Money Laundering (AML) and ‘Know Your Client' (KYC) requirements;
• Develop, coordinate and maintain reports generated by surveillance monitoring (including sanctions checking and high risk jurisdictions);
• Maintain and work the reports generated by automated surveillance monitoring including those from sanctions checking and high risk jurisdictions
• Undertake periodic reviews of business areas to ensure compliance with AML controls
• Assist the Group in working towards compliance with regulations, legislation, relevant industry standards and best practice;
• Coordinate and investigate suspicious activity reports (SARs) and escalate as appropriate to the MLRO or external body (such as the Serious Organised Crime Agency(SOCA))
• Liaise as appropriate and when necessary with external bodies such as auditors, the Financial Ombudsman Service (FOS), Financial Services Authority (FSA), Insolvency Service, SOCA, police and any other law enforcement agencies and/or regulatory bodies
• Evaluate and monitor existing procedures and develop new procedures, systems and controls to minimize the risk of the firm being used for financial crime and ensure the business is compliant with current anti-money laundering requirements
• Coordinate AML training and maintain the AML training database and, as required, deliver AML training
• Maintain the incident log and record as necessary any financial crime related incidents
• Maintain personal/professional development to meet the changing demands of the role, participate in appropriate training and attend relevant external forums and seminars
• Take all reasonable steps to ensure appropriate confidentiality
• Undertake other such duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role

EXPERIENCE REQUIRED:

• Previous experience in an AML/Financial Crime role
• Knowledge of FSA rules relating to AML and Financial Crime

For further information, please contact Hannah Tabatabai

COMPL 3580

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