AML Compliance Officer

Robert Half is assisting a global equipment finance company based in London to recruit a Operational Risk Compliance Manager paying £38 000 - £48 000 DOE

The company provides vendor and equipment finance in the Technology, Transport, Industrial & Construction (TIC), Medical, Public Sector and Agriculture markets.

Specific Responsibilities:

Compliance Awareness

Attend and contribute to the monthly Compliance Team meeting; discussing topics relevant to team and company to ensure we are promoting the values of the Company leadership model.

In this role, you will report directly to the Deputy MLRO to ensure the management of all risks in relation to money laundering and terrorist financing.

Responsibilities:

• Day to day customer due diligence (CDD) and know your customer (KYC);
• KYC on suppliers;
• Performing world-Check, FORCES and media searches;
• Liaise with Deputy MLRO re: escalated transactions, answering queries as required;
• Escalating transactions to Paris Compliance where required, including research undertaken, system notes, completion of escalation form(s) and use of group tools for reporting;
• Liaise with Sales teams and Line of Defense 1 (LOD1) to obtain KYC/CDD information, as required;
• Assist Risk team with CDD particularly the identification of Beneficial Owners; Negative news; PEPs (Politically Exposed Persons); ESR (Environmental Social Risks):
• Carry out CDD Reviews in accordance with the AML Risk rating and AML policy;
• Check CDD carried out by Business Services team;
• Ensuring that all CDD escalations are correctly documented; producing KPIs on a quarterly basis using this data;
• Ensuring that the PEP register is maintained;
• Perform Periodic Reviews on live clients;
• Deputise for the Deputy MLRO as and when required (for example to attend calls and meetings when the Deputy MLRO is attending training, writing policies, on holiday etc..)
• Assist with training new / junior members of the team (once fully competent and trained) and also assisting with the training of other members of staff who require guidance or support where we are utilizing extra resource from within the business (e.g. this may include showing how a task should be performed to Business Services, and then monitoring that they have performed the task, as instructed).

Policy & Regulation

• Attendance at monthly Compliance Forum, as required, to discuss AML/TF/E&S issues.
• Assist with reporting on RCI, Anti-Money Laundering/Terrorist Financing/Embargoes & Sanctions information required
• Assist with risk assessment campaigns, as required by the Deputy MLRO or Head of Compliance & MLRO.
• Assist with data for quarterly Compliance Committee (ComCo)
• Keep up to date with regulatory, legislative change and industry specific updates - share findings and observations that may materially impact the business and update policies and processes accordingly, under the supervision of the Deputy MLRO
• Assist with policy updates, if required

Reporting / Record Keeping and Permanent Supervision

• Report any Suspicious Activity Reports (SARs) internally or to Paris and assist the Deputy MLRO/ MLRO with any external NCA reporting (if required);
• Ensure record keeping policy is adhered to;
• Assist with preparation of the Annual MLRO report for approval by the MLRO and Deputy MLRO - providing data where required.
• Perform on-going Permanent Supervision controls in the AML/TF & E&S sphere;
• Assist any ad-hoc AML/TF/E&S reporting.

Requirements:

• 2 - 3 years AML experience
• Knowledge of & Interest in, Anti - Money Laundering and Terrorist Finance regulation and FCA regulatory obligations
• AlfaKYC Platform
• World Check/ FORCES
• FCCR

Salary + Discretionary bonus + benefits

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