Senior Manager, Policy & Advisory, Financial Crime

For UK, US and EMEA, supporting the strategic development and implementation of financial crime policies, standards, and procedures, maintaining their currency and alignment with relevant laws, regulations and industry best practices.

Working with the leadership team, foster a collaborative, high-performance culture within the global team, aligned with the firm’s values and strategic objectives.

Close collaboration with counterparts to agree a global approach to the development of the firm’s AML/CTF and sanctions compliance program.

AML/CTF and Sanctions Advisory

• Provide expert advice on AML/CTF and sanctions compliance, ensuring adherence to relevant regulations and standards.
• Stay informed on legislative and regulatory changes and prepare the firm to respond effectively.
• Oversee the provision of expert AML/CTF advice to the Firm, ensuring compliance with relevant regulations and standards.
• Develop and maintain robust AML/CTF policies and procedures.
• Stay abreast of legislative and regulatory changes, educate and ensure the team is informed and respond accordingly.

Risk Assessment and Mitigation

• Conduct comprehensive risk assessments and gap analyses to identify potential financial crime risks.
• Develop and recommend mitigation strategies to manage identified risks.

Regulatory Compliance and Liaison

• Monitor changes in financial crime regulations and ensure the Firm’s compliance.
• Maintain and develop relationships with regulatory bodies and ensure timely and accurate reporting and compliance.

Training and Awareness Programs

• In collaboration with the team, develop materials for training to enhance staff awareness and understand financial crime risks and controls.
• Promote a culture of compliance and ethical behaviour across the Firm.

Monitoring, Reporting, and Incident Management

• Identify effective financial crime controls and uplift as required.
• Provide regular reports on compliance adherence to senior management.
• Support the investigation and resolution of financial crime incidents, ensuring thorough documentation and reporting.
• Provide guidance on remedial actions and lessons learned to prevent future incidents.
• Maintain accurate and comprehensive documentation of all advisory activities.

Regulatory Enquiries and Documentation

• Advise the Firm on all regulatory enquiries, audits, and surveys, ensuring consistency in responses.
• Assist with regulator interaction, including reporting, analysis, and report writing.
• Maintain accurate and comprehensive documentation of all advisory activities.

Qualifications, skills and experience

• A law degree or equivalent legal qualification is preferred.
• Professional certifications in financial crime compliance (e.g., CAMS, ICA) are highly desirable.
• At least 8 years of experience in financial crime compliance, with a focus on Policy, Advisory, Risk, Compliance and regulatory engagement, preferably within the financial services industry.
• Demonstrated experience in developing, implementing, and overseeing comprehensive financial crime compliance frameworks and policies.
• Strong leadership skills with a track record of building, mentoring, and leading high-performing teams in a dynamic and global environment.
• In-depth knowledge of AML/CTF regulations and international sanctions regimes.
• Proven experience in a financial crime policy and advisory role within a financial services or regulated environment.
• Self-motivated individual with strong leadership and team management skills, with the ability to empower and engage the team.
• Change advocate leading the team to think differently and challenge the status quo to strive to be the leading firm on financial crime.
• Strong analytical, research and problem-solving abilities.
• Strong commercial and market awareness.
• Excellent verbal, written and face to face communication skills.
• Ability to work well under pressure and to deadlines and to provide support to others.
• Ability to work independently and as part of a global team in a dynamic and fast-paced environment.

Collaborates with others

• Contributes to the training and development of the wider Financial Crime team and NBI.
• Works well within a global team in managing workflow and sharing know-how.
• Takes ownership of projects, leads and provides guidance to team members.
• Develops innovative solutions by valuing diversity of thought, expertise and experience.
• Brings a positive energy to the way they work and inspires this in others.
• Excellent communication and interpersonal skills.
• Strong organisational skills and ability to prioritise.

Focuses on Clients

• Understands the importance of clients to the firm and acts with the firm’s clients in mind.
• Prioritises initiatives that will positively impact the client experience and their business.
• Has a wider understanding of the Firm and its clients’ commercial needs and is able to balance these appropriately with the Firm’s wider regulatory obligations.
• Understands the Firm’s existing processes and is able to suggest and contribute to their improvement.
• Ability to use initiative and be pro-active.
• Seeks out market trends and introduces relevant ideas.

Achieves results

• Takes personal responsibility for getting things done and is able work independently with minimal guidance.
• Ability to cope with conflicting demands and meeting deadlines.
• Remains focused on long term objectives and broad firm issues.

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