Compliance Manager, Financial Crime, Compliance

CLSA; Greater London; On-site; GBP 90,000 - 120,000; Full time

Job summary

CLSA is seeking an experienced Financial Crime Compliance professional to oversee the firm’s AML framework and ensure FCA-aligned compliance. The role covers policy development, risk assessments, client onboarding, and monitoring, with a strong emphasis on higher-risk clients.

You will monitor sanction lists, conduct investigations, support SAR submissions, and contribute to governance and training across internal and global teams.

Qualifications

• Bachelor's or master's degree in a relevant field.
• Minimum 7 years of experience in financial crime or KYC.
• Strong knowledge of UK/European/global regulatory frameworks relating to financial crime and onboarding.
• Fluent in spoken and written English.
• Certifications in financial crime would be a plus.
• Ability to work independently and as part of a team.

Responsibilities

• Adhere to FCA regulations and CLSA code of conduct at all times.
• Develop and maintain AML and financial crime policies in line with obligations.
• Update risk-based approach and risk assessment for customers, products and services.
• Lead client onboarding with advisory, review and approval for higher-risk clients.
• Screen clients and associates against sanctions lists, PEPs, adverse media; take action as needed.
• Monitor World-Check One alerts and escalate when necessary.
• Develop risk-based monitoring processes aligned with operations scale and complexity.
• Assist with SARs and investigations; submit to the NCA as required.
• Ensure staff training in financial crime prevention and maintain training records.
• Assist with Financial Crime governance meetings.
• Liaise with Group and Head Office to maintain AML policies globally, including GFCC participation.
• Assist CLSA Europe Compliance with Financial Crime matters.

Skills

Analytical skills

Quantitative skills

Interpersonal skills

Organizational skills

Problem-solving

English communication

Education

Bachelor's degree or above

Tools

World-Check One

AML systems

Job description

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.