Compliance Investigations Officer

Compliance
Published
17th July 2017
Category
Job Type
Permanent
Salary
Competitve

Description

BSM Group is representing a client seeking a Compliance Investigations Officer.

Key responsibilities:

  • Provide investigation support in the delivery of fraudulent and money laundering cases, either as an investigation lead or as part of the investigating team, liaising as necessary with internal and external parties to ensure that investigations are thoroughly and professionally completed and appropriate conclusions drawn and actions taken.
  • Provide day-to-day assistance and support as needed to the Head of Financial Crime Investigations.
  • Assist the Head of Financial Crime Investigations in the investigation and administration of suspicious activity and transaction reports, where necessary liaising with the relevant authorities.
  • Co-ordinate with both domestic and overseas Firm Compliance Officers and/or MLROs on issues related to cross-border transactions and investigations.
  • Assist the Head of Financial Crime Investigations and the Compliance Training Manager in training initiatives for relevant areas of the Firm’s London Branch.
  • Contribute to the implementation within Métier environment of the UK of Regulatory, Group and Firm standards against financial crime and fraud.
  • Support the Head of Financial Crime Investigations in the provision of support to the Corporate Coverage, Fixed Income, Equity & Derivatives, Financing Métier, Commodities, and Corporate Finance metiers in the Firm’s London Branch with regard to Financial Security and Compliance Investigations related matters.
  • Provide support to the Firm entities domiciled in the UK with regard to Financial Crime matters
  • Contribute to the implementation across the UK of Regulatory, Group and Firm standards against financial crime and Fraud.
  • Contribute to the coordination of the Compliance operational permanent control framework and related reporting
  • Research and respond to enquiries from trading/sales desks, marketing and operations.
  • Provide guidance to Compliance colleagues on the application of financial crime and fraud investigations, policies and procedures.
  • Where appropriate, review account files and monitor compliance with Due Diligence procedures for new and existing accounts.
  • Deal with information requests and queries from the authorities and other institutions.
  • Prepare Management Information as required by the Head of Financial Crime Investigations.
  • Oversee tasks associated with the delivery of an investigation including, planning, escalation, case administration, undertaking or assisting with interviews.

Financial Security

  • As appropriate, seek to implement regulatory, Group and the Firm’s standards in relation to financial crime and fraud.

Market Conduct

  • As appropriate, seek to implement regulatory, Group and the Firm’s standards against market abuse, etc.

Projects and Objectives

  • As directed, to contribute to UK, regional or global projects with a view to ensuring that they are delivered effectively and efficiently

Legal and Regulatory Responsibilities

  • Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and Compliance policies and procedures as issued from time to time; Financial Crime Prevention requirements, including, but not limited to, the prevention of financial crime and fraud including reporting obligations to the Head of Financial Crime Investigations.
  • Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.

Key requirements:

  • Previous knowledge or experience of Financial Crime within the banking arena.
  • Experience of investigating fraudulent acts and money laundering cases.
  • A strong familiarity with Banking systems and operational procedures, regulation, compliance and corporate governance
  • A sound knowledge of the principles of good risk control
  • Good attention to detail
  • Excellent written and oral skills
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Strong Team player
  • Excellent PC skills
  • Strong analytical and judgmental skills

If you require any more information please contact Hugh Tamlyn: hughtamlyn@bsmgroup.com or  0203 906 2695

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