Compliance Manager, Financial Crime

About the role

This role oversees the firm's financial crime prevention framework, ensuring compliance with FCA regulations and internal policies. It covers AML procedures, risk assessments, client onboarding for higher-risk clients, screening systems, investigations and SAR submissions, as well as training, governance and collaboration with internal and global teams.

Key responsibilities

• Adhere to FCA regulations and the CLSA code of conduct at all times.
• Help develop and maintain AML and financial crime policies in line with statutory and regulatory obligations.
• Determine and update the money laundering risk-based approach and customer, product and service risk assessments, in consultation with management.
• Take a key part in client onboarding, advising, reviewing and approving, especially for higher-risk clients.
• Ensure clients and associated individuals are screened regularly against sanctions lists and for PEPs, disciplinary actions and adverse media, and take appropriate action.
• Monitor the World Check One system daily so alerts are reviewed, cleared or escalated as needed.
• Develop and maintain risk-based monitoring processes proportionate to the scale, nature and complexity of the firm's operations.
• Assist with internal suspicious activity reports and investigations, including preparing and submitting SARs to the NCA where necessary.
• Ensure staff are adequately trained in financial crime prevention, with appropriate standards, scope and records kept.
• Assist with financial crime governance meetings and liaise with Group and Head Office departments, including the Global Financial Crime Committee (GFCC).
• Support the CLSA Europe Compliance team in financial crime matters and comply with the company's environmental management systems and policies.

Required profile

• Bachelor's or master's degree or above.
• Minimum 7 years of relevant experience in a financial crime or KYC role.
• Understanding of UK, European and global financial crime and client onboarding regulations, with a motivation to expand that knowledge.
• Fluent spoken and written English; certified or licensed financial crime qualifications are a plus.

Required skills

• Strong analytical, quantitative, interpersonal, organisational and problem-solving skills.
• Able to work independently, with strong attention to detail, a proactive mindset and a team spirit.