Compliance Manager, Financial Crime, Compliance

CLSA Global Markets Pte Ltd; Greater London; Sur place; GBP 70 000 - 90 000; Plein temps

Résumé du poste

CLSA Global Markets Pte Ltd is seeking a Compliance Manager for their London office. This role entails overseeing the firm's financial crime prevention framework and ensuring compliance with FCA regulations. Key responsibilities include maintaining AML procedures, conducting risk assessments, and supporting high-risk client onboarding. The ideal candidate will have at least 7 years of experience in financial crime or KYC roles and a strong understanding of UK and global regulations. A bachelor's or master's degree is required.

Qualifications

• Minimum 7 years of experience in financial crime or KYC role.
• Understanding of UK and global regulations.
• Fluent in both spoken and written English.

Responsabilités

• Oversee financial crime prevention framework.
• Conduct risk assessments and support client onboarding.
• Maintain AML policies in line with regulations.

Connaissances

Analytical skills

Attention to detail

Problem-solving skills

Interpersonal skills

Formation

Bachelor's / Master's degree

Description du poste

## Compliance Manager, Financial Crime, ComplianceApplylocations: Londontime type: Full timeposted on: Posted Todayjob requisition id: JR002869**Position Description**This role is responsible for overseeing the firm’s financial crime prevention framework, ensuring compliance with FCA regulations and internal policies. It involves maintaining AML procedures, conducting risk assessments, and supporting client onboarding, particularly for higher-risk clients. The role also includes monitoring screening systems and assisting with investigations and SAR submissions. Additionally, it supports training, governance, and collaboration with internal and global teams.**Key Areas of Responsibilities*** Adhere to FCA regulations and the CLSA code of conduct at all times.* Assisting with developing and maintaining the firms AML and financial crime policies in line with evolving statutory and regulatory obligations* In consultation with management, determining and updating the money laundering risk-based approach and the risk assessment of the firm’s customers, products and services* Taking a key role in the client On-boarding process carrying out an advisory, review and approval function particularly in regard to higher risk clients* Ensuring that firm’s clients and associated individuals are screened regularly against sanction lists and for any PEPs, disciplinary action and adverse media and appropriate action taken.* Daily monitoring of World Check One system to ensure relevant alerts are reviewed and cleared or escalated as necessary.* Developing and maintaining appropriate risk-based monitoring processes that are proportionate to the scale, nature and complexity of the firm’s operations* Assisting with internal suspicious activity reports and investigations including SAR preparation and submitting to the NCA as necessary.* Ensuring that all relevant staff are adequately trained in financial crime prevention, that the standards and scope of the training is appropriate and that training records are kept* Assisting with Financial Crime governance meetings* Liaising with Group and Head Office departments to maintain and develop AML policies and procedures globally, including participation in the Global Financial Crime Committee (GFCC)* Assisting the CLSA Europe Compliance team in Financial Crime matters* Knowledge of, and adherence to, the Company’s Environmental Management Systems and policies**Requirements*** Bachelor’s / master’s degree or above required* Minimum 7 years of relevant experience in financial crime or KYC role* Understanding of applicable UK, European and Global regulation and legislation relating to financial crime and client onboarding with a motivation to expand that knowledge* Strong analytical and quantitative, interpersonal, organizational, problem-solving skills* Able to work independently, strong attention to detail with a proactive mindset, a team player* Excellent command of / fluent in both spoken and written English* Certified as / Licensed with Financial crime related qualifications would be a plus