Client Risk Review Manager (Financial Crime Compliance)
Client Risk Review Manager (Financial Crime Compliance) - Fight Financial Crime with us!
Purpose:
* Manage and undertake significant and complex investigations of potential Anti-Money Laundering (AML) and Sanctions breaches within the bank (focusing on client, transaction and control reviews) as part of the Significant Regulatory/Legal Case Management approach i.e. cases which involve a regulator or other governmental authority, or could be of concern to such a regulator or authority, and which have the potential to result in significant financial, reputational or regulatory impact on the Group.
* Undertake bank-wide client risk reviews triggered by sanctions or money laundering risk indicators.
* Post investigation conclusion, report on the control/other failures that led to the breach(es) to ensure lessons are learned across the bank
Overall Responsibilities
- Manage Financial Crime Client Investigations
- Provide investigative expertise to support the Group General Counsel's office in their management of Significant Regulatory/Legal cases, where the cases involve a regulator or other authority undertaking an investigation related to money laundering and sanctions involving the Group's clients
- Work closely with Group General Counsel's office to ensure preservation of Legal Privilege
- Collaborate closely with Regional Heads of Financial Crime Compliance (FCC) to coordinate and call on support from Regional and Country FCC teams to resolve cross-border client investigations
- Provide support to Regional or Country Legal & Compliance teams when they require specialist or additional support on client investigative / remediation projects
- Develop and maintain a financial crime client reviews ""vertical"" within the bank's case management system and Financial Crime Intelligence / Investigations Unit significant cases section of the FCC Case Tracker
- Lessons learned and remediation
- Conduct a root cause analysis on the control/other failures to ensure lessons are learned across the bank
- Present final conclusions and remediation recommendations to senior stakeholders
Manage end-to-end financial crime client reviews initiated by external sources (regulators, agencies, authorities or other external organisation), and internal surveillance. Investigation elements include:
- Source, sense check and validate client documentation (including Customer Due Diligence, Suspicious Activity Reports)
- Gather, mine, review and analyse client data (including transactions)
- Review other sources of relevant information (including client media coverage)
- Organise and conduct interviews (for example, with relationship managers, clients and other related parties)
- Regularly communicate with internal stakeholders
- Assist liaison between bank and external counsel
- Input to strategic direction of investigation
Apply to Job