Job Summary:

• Supervising a team of AML reviewers
• Formulate AML policies & procedures
• Provide AML advice to business units and conduct AML compliance training
• Supervise the AML compliance officers in their AML works
• Review and conduct Client Due Diligence (CDD) Analyst
• Conduct and review politically exposed persons (PEP) checks
• Resolve sanction hits
• Prepare annual compliance review plan
• Conduct AML / CFT compliance review
• Identify compliance and internal control issues in the area of AML/CFT
• Give recommendations and take follow-up actions
• Monitor the progress of improvement actions suggested by internal / external bodies

Skills on Resume: 

• Leadership and Team Management (Soft Skills)
• AML Policy Formulation (Hard Skills)
• AML Advisory (Soft Skills)
• Supervision of AML Compliance Officers (Soft Skills)
• Client Due Diligence (CDD) Analysis (Hard Skills)
• Politically Exposed Persons (PEP) Checks (Hard Skills)
• Sanction Resolution (Hard Skills)
• Compliance Review and Issue Identification (Hard Skills)

Job Summary:

• Oversee all AML-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the competent supervisory authorities, and providing updates to the senior management),
• Represent the key coordination function within the internal control system
• Work in close cooperation with the Legal, Compliance, Product management and Ops department to ensure AML with internal standards and legal provisions
• Create and maintain written policies and procedures to meet changing regulatory and business requirements, particularly by keeping abreast of legal and regulatory developments in the German & European fintech space
• Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies
• Organizing AML trainings of local employees.
• Review enhanced due diligence for customers identified as high risk
• Assist in developing and implementing an effective AML/CFT compliance frameworks across the bank
• Provide advisory support to business units in the implementing and regular review of AML/CFT policies and procedures
• Promote continuous improvement of AML/CFT controls
• Keep abreast of the latest compliance and AML/CFT regulatory requirements and trends

Skills on Resume: 

• AML Compliance Oversight (Hard Skills)
• Internal Control Coordination (Soft Skills)
• Interdepartmental Collaboration (Soft Skills)
• Policy and Procedure Development (Hard Skills)
• Regulatory Compliance Monitoring (Hard Skills)
• KYC Process Management (Hard Skills)
• Training Facilitation (Soft Skills)
• Enhanced Due Diligence Review (Hard Skills)

Job Summary:

• Undertake on going structured programme to assess continued suitability of AML framework
• Ensure the production of MI for management team and regulator as requested
• Represent the team at the Compliance Assurance Forum
• Support line reports in terms of development and undertake structured on-going performance management
• Assume responsibility of the regulatory procedures review on a calendar basis recommending amendments are required
• Proactively assess impact of regulatory updates in Guernsey, Jersey and the UK on Aztec recommending required actions and ensuring allocation of responsibility and tracking to completion
• Identify training needs of the team and working with the senior manager develop a structured training programme for the team
• Act as MLRO/Deputy MLRO as required
• Support the team and the Client Facing Teams with the assessment of complex CDD matters
• Represent Aztec at client and industry forums are required
• Deputise for Senior AML Manager as appropriate
• Support in delivery of key strategic projects

Skills on Resume: 

• AML Framework Assessment (Hard Skills)
• Management Information (MI) Reporting (Hard Skills)
• Forum Representation (Soft Skills)
• Performance Management (Soft Skills)
• Regulatory Procedure Review (Hard Skills)
• Regulatory Updates Assessment (Hard Skills)
• Training Needs Analysis (Soft Skills)
• MLRO/Deputy MLRO Duties (Hard Skills)

Job Summary:

• Process AML assessments and update reports
• Support on complex cases and AML reviews
• Manage a team providing support and guidance
• Assist to client queries related to AML
• Ensure regulatory training to team members and keep up to date procedures
• Communicate with clients to provide regulatory training
• Manage transaction monitoring screening and AML uploads
• Work closely with compliance supporting in audit reviews or requirements
• Assess KYC documentation and identification of complex entities
• Advising the organisation on all relevant AML Laws, Rules, Regulations and Group policies.
• Liaising with regulators and keeping up to date with the regulations concerning AML.
• Organise and undertake periodic monitoring and reviews based on the assessment of risk.
• Engaging with key stakeholders across the region regarding regulatory queries, changes and also participating in industry discussions.

Skills on Resume: 

• AML Assessment and Reporting (Hard Skills)
• Complex Case Management (Hard Skills)
• Team Management and Leadership (Soft Skills)
• Client Query Resolution (Soft Skills)
• Regulatory Training Delivery (Hard Skills)
• Client Communication (Soft Skills)
• Transaction Monitoring and AML Data Management (Hard Skills)
• Compliance Support and Audit Engagement (Hard Skills)

Job Summary:

• Drive sustained improvement of the AML department by developing policies and procedures in line with changes to the business and regulatory requirements
• Work with international teams to develop the department's approach by acquiring local market knowledge
• Lead the development a small team of AML Officers
• Continue to develop and adapt the approach towards AML & CTF as the business expands
• Operate as the Subject Matter Expert on AML, providing guidance to the business and supporting the wider team
• Manage for the delivery of group wide training programmes
• Assist with regulatory and other ad hoc projects to deliver change
• Demonstrable experience of leading an AML/Financial crime team in a regulated environment, ideally within the Gambling industry
• A passionate and enthusiastic individual, eager to take the next step in their career
• Personable, yet firm. Not afraid to challenge and direct where required
• Detail oriented with the ability to confidently make decisions in a timely manner

Skills on Resume: 

• Policy and Procedure Development (Hard Skills)
• Cross-Cultural Collaboration (Soft Skills)
• Team Leadership and Development (Soft Skills)
• Adaptive AML & CTF Strategy Development (Hard Skills)
• Subject Matter Expertise (Hard Skills)
• Training Program Management (Hard Skills)
• Project Management (Hard Skills)
• Leadership Experience in AML/Financial Crime (Hard Skills)

Job Summary:

•  Responsible for developing, implementing, maintaining and enhancing the Anti-Money Laundering Policies and Procedures
• Put in place appropriate measures to ensure that money laundering and the financing of terrorism risks are taken into account in the firm’s day-to-day operation
• Provide advice to business in the implementation of internal policies, procedures and processes to meet the requirements of the AML/CFT policy
• Handle and advise internal stakeholders on AML/CFT related enquiries during day-to-day operations
• Conduct of money laundering / terrorist financing risks assessment on new products and services (i.e. new coins listing, new business activities)
• Identify situations that may pose significant risk and provide solution and advice on how to remediate
• Identify and implement enhancements on AML systems
• Conduct review and carry out investigations on any suspicious transactions
• Review and monitor the Company’s ML/TF risk exposures, and escalate any significant vulnerabilities/STRs to senior management as well as the Risk and Compliance Committee
• Responsible for filing of STR reports
• Collaborate closely with business and operations team on the entire AML framework
• Responsible for developing and implementing ongoing AML training programs for employees
• Monitor and keep abreast of any regulatory changes and its impact of AML/CFT developments
• Provide support to senior management to ensure AML/CFT risks are adequately identified and managed

Skills on Resume: 

• Policy and Procedure Development (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Advisory (Hard Skills)
• Stakeholder Management (Soft Skills)
• Risk Assessment (Hard Skills)
• Problem-Solving and Advisory (Soft Skills)
• System Enhancement (Hard Skills)
• Transaction Review and Investigation (Hard Skills)

Job Summary:

• Develop, implement, maintain, and enhance the company's Anti-Money Laundering Policies and Procedures.
• Put in place appropriate measures to ensure that money laundering and the financing of terrorism risks are taken into account in the firm's day-to-day operations.
• Provide advice to the business in the implementation of internal policies, procedures, and processes to meet the requirements of the AML/CFT policy.
• Handle and advise internal stakeholders on AML/CFT-related enquiries during day-to-day operations.
• Conduct money laundering / terrorist financing risks assessment on new products and services (i.e. new coins listing, new business activities, etc.)
• Identify situations that may pose significant risk and provide solutions and advice on remediation.
• Identify and make enhancements on AML systems according to business needs.
• Review of investigation reports from the AML hub.
• Conduct risk based checks on ongoing transaction monitoring.
• Review and monitor the company's ML/TF risk exposures, and escalate any significant vulnerabilities and any internal STRs to senior management as well as the Risk and Compliance Committee.
• Responsible for the filing of STR reports.
• Collaborate closely with the business and operations teams on the entire AML framework.
• Develop and implement ongoing AML training programmes for employees.
• Monitor and keep abreast of any regulatory changes and their impact of AML/CFT developments.
• Provide support to senior management to ensure AML/CFT risks are adequately identified and managed.
• Report to Local MLRO.

Skills on Resume: 

• Policy Development and Implementation (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Advisory (Hard Skills)
• Stakeholder Communication and Advisory (Soft Skills)
• Risk Assessment (Hard Skills)
• Problem-Solving and Remediation (Soft Skills)
• System Enhancement (Hard Skills)
• Transaction Monitoring and Investigation (Hard Skills)

Job Summary:

• Develop, present, and test against annual test plans based on input from risk assessment results, emerging risks, regulatory changes, management or regulatory focus, metrics, and reporting.
• Perform Enterprise-wide AML & FCM QA testing which includes design and control effectiveness evaluations.
• Validate the resolution of material issues with key controls discovered through testing or as a result of identified issues (i.e., self-identified, Internal Audit, and/or following regulatory examination).
• Assist the Enterprise AML & FCM teams in complying with relevant Raymond James policies, operating procedures and other requirements through ongoing testing and review of established controls.
• Maintain and update QA methodology, standards, procedures, and other program documents.
• Develop and maintain metrics and reports to summarize and explain QA testing results to relevant Senior Management, Risk, Compliance, and other key stakeholder groups to ensure responses and remediation actions are promptly reported and executed as necessary.
• Develop and maintain a risk control inventory of key controls and processes relevant to AML & FCM by partnering with key stakeholders.
• Provide recommendations for controls or improvements.
• Responsible for projects, reports, training and/or presentations to communicate program updates as needed.
• Proactively manage time and prioritize tasks to meet goals and regulatory requirements in an efficient manner.

Skills on Resume: 

• Test Plan Development (Hard Skills)
• Quality Assurance Testing (Hard Skills)
• Issue Resolution Validation (Hard Skills)
• Compliance Assistance (Hard Skills)
• Methodology and Procedure Maintenance (Hard Skills)
• Reporting and Metrics Development (Hard Skills)
• Risk Control Inventory Management (Hard Skills)
• Project Management and Communication (Soft Skills)

Job Summary:

• Ensure that the firm remains compliant with the relevant AML/FT legislative requirements.
• Oversee the administration of compliance processes.
• Oversee the client on-boarding and ongoing monitoring process.
• Ensure that employees adhere to required policies and procedures.
• Assist in the development and delivery of adequate relevant training to staff members.
• Keep updated on any changes in any relevant laws and regulations and take necessary actions to ensure the firm's ongoing compliance.
• Develop and improve any compliance procedures as may be deemed relevant.
• Support in the preparation of internal reports for senior management.
• Assist in regulatory reporting to the relevant authorities for timely submission.
• Assist in the management of a team of professionals, and provide technical guidance and oversight of the team's daily work.
• Engage in any other tasks commensurate with the role.

Skills on Resume: 

• Regulatory Compliance Management (Hard Skills)
• Process Administration (Hard Skills)
• Client Onboarding and Monitoring (Hard Skills)
• Policy and Procedure Enforcement (Soft Skills)
• Training Development and Delivery (Soft Skills)
• Legal and Regulatory Knowledge (Hard Skills)
• Procedure Development and Improvement (Hard Skills)
• Report Preparation and Presentation (Hard Skills)

Job Summary:

• Management of a team of analysts and executives who are responsible for performing critical daily tasks in relation to AML and Due Diligence.
• Overseeing the completion of due diligence checks including customer due diligence, enhanced due diligence and source of funds.
• Overseeing the daily monitoring of PEPs and Sanctions alerts.
• Assisting in the creation of trigger points to highlight customers for an AML review.
• Assisting with the creation of policies and processes.
• Assisting in keeping the business risk assessment comprehensive and up to date.
• Working closely with the Head of Operations, Safer Gambling Manager and Compliance specialist to deliver the overall compliance strategy.
• Lead a team to carry out the organisation's AML investigation and compliance duties
• Review investigation reports and ensure their accuracy and quality
• Contribute to the organisation AML strategy planning and directions
• Analysis relevant data and prepare management reports on the organisation's risk level
• Initiate and lead projects to drive improvement and enhancement for financial crime mitigation

Skills on Resume: 

• Team Management and Leadership (Soft Skills)
• Due Diligence Management (Hard Skills)
• Monitoring PEPs and Sanctions (Hard Skills)
• Risk Identification and Assessment (Hard Skills)
• Policy and Process Development (Hard Skills)
• Business Risk Assessment (Hard Skills)
• Cross-Functional Collaboration (Soft Skills)
• Investigation and Compliance Review (Hard Skills)

Job Summary:

• Oversight and management of the AML function along with relevant regulatory requirements.
• Ownership of AML processes and procedures ensuring accurate and complete data is maintained for all clients, investors, related parties, and beneficial owners.
• Ensure regular AML management reporting across all funds is produced for submission to Management and Clients/Fund Boards.
• Perform ongoing monitoring of business, including PEP's and transaction monitoring.
• Owing the relationship with external stakeholders, Clients, shareholders, regulators, auditors and other external parties.
• Ownership of relevant projects, including implementation of AML systems and technology
• Process AML assessments and update reports
• Support on complex cases and AML reviews
• Manage a team providing support and guidance
• Assist to client queries related to AML
• Ensure regulatory training to team members and keep up to date procedures
• Communicate with clients to provide regulatory training
• Manage transaction monitoring screening and AML uploads
• Work closely with compliance supporting in audit reviews or requirements
• Assess KYC documentation and identification of complex entities

Skills on Resume: 

• Regulatory Compliance Management (Hard Skills)
• AML Process and Procedure Management (Hard Skills)
• Reporting and Analysis (Hard Skills)
• Ongoing Monitoring (Hard Skills)
• Stakeholder Relationship Management (Soft Skills)
• Project Management (Hard Skills)
• Case Support and Review (Hard Skills)
• Team Management and Leadership (Soft Skills)

Job Summary:

• Responsible for the compliance oversight of Payoneer's AML transaction monitoring systems including oversight over change requests, ensuring documentation is kept up-to-date, and appropriate testing of systems is executed
• Update and change internal monitoring settings as required by laws and regulations
• Create, as needed, and continuously review internal reports to support monitoring of risks identified by the company's AML and CTF programs
• Prepare and provide regular updates to Executive Compliance Teams on system performance and validation of the system's integrity and effectiveness in addressing the company's risks
• Participate in data quality efforts and projects to enhance the company's compliance controls and transaction monitoring program, including as they extend to new products and services.
• Provide expertise and support to advance AML modeling projects; design and develop risk models, monitor their implementation, and work on periodic tuning and retirement of rules.
• Review documentation received against procedures and complete AML checklists for second approval Review, analysis and requesting of AML documentation linked to back book of business Conduct Screening on all clients and review to identify True hits Organisation and if necessary, refresh of all investor AML accounts Manage workload and ensure corporate and client deliverables are met.
• Ensure a professional relationship is maintained with clients and stakeholders at all times

Skills on Resume: 

AML Transaction Monitoring System Oversight (Hard Skills)

Regulatory Compliance Management (Hard Skills)

Internal Reporting (Hard Skills)

Executive Communication (Soft Skills)

Data Quality Management (Hard Skills)

AML Modeling Expertise (Hard Skills)

Documentation Review and Analysis (Hard Skills)

Stakeholder Relationship Management (Soft Skills)

Job Summary:

• Assisting to develop and manage an effective AML/CFT program in ensuring compliance with the local regulations and the company’s policies
• Creating and maintaining localised AML policies and procedures to ensure they are effective and up to date
• Advising and making decisions on AML/PEP/Sanctions/Adverse News escalations flagged by the relevant screening
• Ensuring that suspicious activities are promptly investigated, handled in a timely and appropriate manner
• Conducting periodic monitoring on the quality of execution of the relevant business and control functions related to AML/CFT
• Reporting regularly to the company’s senior management on AML/CFT compliance matters
• Being the contact point for the company’s AML/CFT matters with the relevant regulators, including filing of suspicious transaction reports and any other regulatory reports where necessary
• Managing any AML/CFT inspections or audits by regulators, external or internal auditors
• Keeping abreast of regulatory developments, including global AML/CFT rules and regulations
• Ensuring that the relevant staff are adequately trained and aware of the company’s AML/CFT policies
• Assisting in ad-hoc compliance reviews, testing or other regulatory-driven projects

Skills on Resume: 

• AML/CFT Program Development (Hard Skills)
• Policy and Procedure Creation (Hard Skills)
• Decision-Making on AML/PEP/Sanctions/Adverse News (Hard Skills)
• Investigation Management (Hard Skills)
• Quality Monitoring (Hard Skills)
• Reporting to Senior Management (Soft Skills)
• Regulatory Compliance Management (Hard Skills)
• Inspection and Audit Management (Hard Skills)

Job Summary:

• Dealing with the Firm’s more difficult CDD issues, particularly in relation to companies and trusts (analysing documents provided by clients and advising whether further information is needed). 
• Communicating with clients directly regarding CDD requests
• Carrying out risk assessments at client inception and also when CDD records are updated to see whether the client presents a higher than usual risk of money laundering
• Carrying out research to establish whether there is any adverse press about a prospective client and assessing its relevance
• Assisting with CDD and general compliance training
• Carrying out searches to identify whether a client is a politically exposed person (PEP) and preparing emails for Senior Management’s approval
• Carrying out research and an analysis on source of wealth and funds issues and assisting with advice to Partners and Fee Earners
• Advising Finance and the Luxembourg office on frequently asked questions relating to billing and file opening
• Review enhanced due diligence for customers identified as high risk
• Assist in developing and implementing an effective AML/CFT compliance frameworks across the bank
• Provide advisory support to business units in the implementing and regular review of AML/CFT policies and procedures
• Promote continuous improvement of AML/CFT controls
• Keep abreast of the latest compliance and AML/CFT regulatory requirements and trends

Skills on Resume: 

• Client Due Diligence (CDD) Analysis (Hard Skills)
• Direct Client Communication (Soft Skills)
• Risk Assessment (Hard Skills)
• Research and Analysis (Hard Skills)
• Compliance Training Assistance (Soft Skills)
• Politically Exposed Person (PEP) Screening (Hard Skills)
• Source of Wealth and Funds Analysis (Hard Skills)
• Advisory Support and FAQ Assistance (Soft Skills)