Technical Compliance (Financial Crime Specialist

Job Title: Technical Compliance (Financial Crime Specialist
Contract Type: Permanent
Location: Leeds, West Yorkshire
Salary: £30000 - £40000 per annum + benefits + bonus
Reference: 10086/001_1490015176
Contact Name: Jane Paton
Contact Email:
Job Published: March 20, 2017 13:06

Job Description

Our client is an established Investment and Wealth Management firm, they are looking for an experience candidate to join the team in Leeds. To support and report to the group Deputy Money Laundering Reporting Officer (DMLRO) in the delivery of technical compliance services and advice to the group, particularly in relation to the prevention of financial crime within the group.

This is a visible role and will include providing highly technical day to day guidance and support to the business but also represent Risk & Compliance on projects and wider business initiatives. Responsibility will extend to the delivery of controls and processes to meet the group's Financial Crime obligations including in respect of anti-money laundering measures, financial sanctions, PEPs, and FCA reporting.

You will act as key support to the DMLRO and to the Head of Risk & Compliance with regard to his CF11 responsibility.

Support the completion of regular AML/Bribery and corruption/Financial Sanctions assessments to ensure the group meets its obligations

Support the DMLRO in providing specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments relating to Financial Crime in order to meet regulatory requirements (this could include anything from advice proposition projects to conducting due diligence in mergers and acquisitions)

Support the DMLRO in the maintenance of compliance processes and procedures for Financial Crime

When required, represent Risk & Compliance at project team meetings and at other forums

Interpret and apply the FCA rules to achieve business focused and commercial outcomes


A minimum of 3 years compliance experience

Can demonstrate technical experience of delivering a wide range (or Financial Crime focussed) of regulatory guidance and solutions in a commercial environment in a medium to large organisation

Qualifications; Financial Planning Certificate, Diploma (Level 4) would be desirable. Must have or be willing to study for a professional qualification with regard to anti-money laundering/financial crime

Excellent communication skills; Resilient to challenge, the ability to influence and build rapport at all levels of the business. Excellent stakeholder management skills

Analytical skills with the ability to interpret theoretical concepts, models and data and apply them to practical solutions to support regulatory risks and concerns.

Expert knowledge of relevant regulatory rules and guidance within the FCA Handbook, particularly COBS and SYSC

Experience working in compliance within the financial services sector; experience of the wealth management or advice sector would be an advantage

Exposure to and knowledge of relevant Financial Crime/anti-money laundering legislation as well as the JMLSG Guidance Notes is an advantage