Act as the SMF16/17 responsible person for Compliance and AML/CFT matters, ensuring compliance with applicable FCA regulations and financial crime obligations.
Serve as the main point of contact for compliance-related queries, providing guidance and support to business stakeholders across the organization.
Maintain oversight of the firm’s regulatory risk framework, identifying emerging and existing risks and implementing appropriate mitigation strategies in partnership with the business.
Lead and enhance the AML/CFT framework across all relevant jurisdictions and business areas, ensuring alignment with regulatory expectations and internal standards.
Develop, review, and maintain compliance policies, procedures, and controls related to AML, sanctions, financial crime, operational resilience, outsourcing, and broader regulatory requirements.
Monitor and assess the impact of new and evolving regulations, including PSD3, 6AMLD, DORA, NIS2, CESOP, ESG, and other applicable frameworks.
Design and execute compliance monitoring programs, thematic reviews, and testing activities across key regulatory areas and third-party arrangements.
Conduct enterprise-wide and cross-border AML/CFT risk assessments, evaluating risks associated with products, services, clients, and geographic exposure.
Review and oversee KYC and onboarding processes for new and existing clients, ensuring adherence to AML and regulatory requirements.
Investigate compliance incidents, suspicious activity, and regulatory breaches, ensuring appropriate escalation, remediation, and reporting where required, including SAR/STR filings.
Prepare and submit regulatory reports and returns to relevant authorities in a timely manner.
Produce and present compliance, financial crime, and risk reports to senior management, boards, and governance committees.
Partner with Internal Audit, regulators, and law enforcement bodies during inspections, audits, and reviews.
Drive training and awareness initiatives to ensure employees remain informed about evolving AML/CFT obligations and regulatory expectations.
Support the continuous evolution of the compliance and risk management framework through automation, process improvements, and scalable controls.