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Senior Compliance Analyst

Up to £50000 per annum
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PLEASE CONTACT

SIMON TAYLOR

Roles and responsibilities:
We are looking for an inquisitive and judicious individual who can work well within deadlines and is adaptable and diligent in their position. The primary function is to protect the company from risk from a compliance standpoint, with the following responsibilities:

  • Review corporate clients to assess AML and fraud risk.
  • Develop and enhance existing transaction monitoring programme to facilitate mass payment monitoring.
  • Conduct ongoing transaction monitoring to ensure the business is protected from exposure.
  • Master various compliance platforms and systems to streamline department workflow.
  • Production of MI to enable business to assess key risks.
  • Support the delivery of compliance training to new members of the department.
  • Work closely with the Risk and Compliance Director to identify any major issues in relation to compliance.


Key attributes required

  • 3 years experience within a payments/FX environment.
  • Fluency in a language. For example - Spanish, French, Italian, etc
  • Experience with Compliance Catalyst, Comply Advantage, Salesforce, Creditsafe.
  • AML/Compliance related qualification.
  • Diligent and committed.
  • Strong communication skills and ability to take ownership of issues and problem resolution.
  • Confident and tenacious whilst also being a team player.
  • A desire and ability to understand processes and suggest improvements and efficiencies
  • Knowledege of JMLSG and the FCA Handbook.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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Senior Manager, Operational Management

SAVE
Negotiable


Senior Manager, Operational Management

Key Accountabilities

Conduct and Operational Management: Ongoing Support to the Head of Conduct and Operational Management with various Projects and Business requirements e.g.

  • Support oversight and Global BAU activities of various Cross border regulations in BAU e.g. FATCA, Volcker etc.
  • Support Operational initiatives e.g. headcount and cost management, oversight of third party activities & risk management.
  • Support implementation of Conduct initiatives, MI consolidation, Review and reporting.
  • Reporting to various governance forums in AMG and Group e.g. RMM, Exco, Board etc.


Leadership & Teamwork

  • Build ‘trusted advisor’ relationships with internal customers at a global and regional level to understand their objectives
  • Understand and manage stakeholders’ requirements and expectations to ensure customer satisfaction
  • Accept overall responsibility and accountability for deliverables as required


Operational Effectiveness & Control

  • Good influencing skills and interpersonal skills
  • Collaborating and fostering good relations with financial crime compliance and the entities.
  • Ability to manage multiple and conflicting priorities.


Major Challenges

  • This role requires the jobholder to work across the complex geographic and functional teams to maintain and embed a healthy culture of compliance with Financial Crime Risks, Conduct etc,
  • Focus on driving consistency and reducing complexity.
  • Evolving landscape requiring the ability to embed change Administration

Management of Risk

  • Observes Internal Controls (Compliance Policy / FIM requirements).
  • Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.
  • Identify and develop robust solutions to mitigate the risks identified
  • Reporting and escalating, if necessary, issues for resolution


Qualifications

  • Asset Management or industry experience.
  • A track record of building relationships by communicating, influencing and negotiating effectively with business heads, senior managers, third party consultants, technical experts across the whole department and business users
  • Excellent communication skills (written and spoken) with an ability to communicate effectively via various channels with multiple business partners and other stakeholders on a global basis
  • Possess reporting and analytical skills, as well as the ability to bring analytical rigour, structure and consistency
  • Experience in providing timely, accurate and valuable reporting to senior management
  • Excellent organizational skills with attention to detail
  • The ability to take complete ownership of issues, work independently with confidence and deliver to deadlines in line with expectations is critically important.
  • Strong interpersonal skills with proven ability of organisational planning, resource mobilisation and problem solving.
  • Understanding of Financial Crime risk and asset management regulatory landscape at a general level.
  • Typical qualifications may include a Bachelor’s degree/equivalent experience

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Head of Financial Crime

SAVE
£70000 - £80000 per annum + Benefits

DESCRIPTION


We believe SMEs have been vastly underserviced and overlooked by traditional banks. Something as simple as opening an account can take weeks, mountains of paperwork and too much time.

Through a mobile-first platform, we provide modern business banking services to small-business owners, saving them time so they can get back to doing what they love.


We’re offering the right person, the opportunity to join our dynamic team to help unlock the next stage of our growth.


Your day will look a little like this:
As the Head of Financial Crime, you will report directly to the VP, Risk and Compliance/MLRO. You will be responsible for the financial crime team, including:

  • Our awesome FinCrime Analysts! This includes managing their day-to-day workload and taking responsibility for their personal development, advising on cases, and managing the overall workload of the team
  • Dealing with any financial crime related enquiries across the business
  • Working closely with all other departments, third parties such as our partner bank, law enforcement, other financial institutions and financial crime prevention bodies
  • Reviewing SARs, ensuring they are of the highest quality
  • Working with the Product Owner to build new systems and controls, and enhance current ones
  • Scaling the team and operations as the business grows
  • And much more!


Our FinCrime team is already great – we want you to keep driving that whilst we go through significant growth!


Who are we looking for?

  • You must be passionate about fighting financial crime! This is not just a regulatory requirement to us, we really care about protecting the business and our customers
  • Worked with all financial crime types – we don’t differentiate, it’s all handled within the financial crime team
  • Detailed knowledge of SARs and what a great SAR looks like
  • A good understanding of financial crime control frameworks
  • Worked in a financial crime role in business banking
  • Be comfortable with technology and how it can be used for financial crime prevention – you don’t have to know how to code or be a developer, but you have to understand the utilisations, how to make efficiencies, and be able to work with our amazing Product Owner to achieve this
  • Be comfortable with data - you don’t need to be an expert, but you’ll be able to work with a spreadsheet and dashboards
  • Ideally experience within a FinTech would be advantageous but we’d also welcome banking experience too
  • Management experience


What are we like to work for?

  • We’re not corporate, we’re a start-up. You will have an unparalleled exposure to many areas of the business – improve and impact how we work
  • We will give you the freedom to be inquisitive and proactive – pursue your interests and develop career with us as we scale
  • We’re open and progressive – input is encouraged at all levels
  • We’re a social bunch. We celebrate the milestones, big and small and genuinely enjoy each other’s company!


Diversity is what makes our world interesting. Different people bring fresh new ideas, thinking and approaches, which make the way work is undertaken more effective and efficient.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Senior Compliance Officer

SAVE
£80000 - £90000 per annum


Job Purpose:


  • Act as the main AML resource in the UK Branch and assist the Head of Compliance with regulatory oversight of the Branch
  • Engage with the Business to maintain and enhance a robust control environment
  • Support the Business with strategic objectives ensuring it operates in accordance with all applicable laws and regulations.



Job Responsibilities:


  • Act as the main AML resource and ensure that the client onboarding process fully meets all AML and other regulatory requirements
  • Maintain an appropriate monitoring programme in accordance with Group and local regulatory requirements
  • Assist the Head of Compliance in preparing for visits/audits from internal and external audit and local/overseas regulators
  • Support the Head of Compliance in maintaining policies, procedures and documentation in line with UK regulation and Group internal requirements
  • Maintain knowledge and awareness of key regulatory changes impacting the Business, including review of relevant FCA consultation papers, discussion papers, policy statements, and thematic reviews; conduct gap analysis where appropriate for the Head of Compliance
  • Assist in regulatory oversight of the Business to ensure compliance with all applicable regulations, including financial promotions
  • Maintain regulatory knowledge by attending external seminars, briefings, meetings etc
  • Any other duties as required from time to time.



Internal Relationships:


  • Head of Compliance
  • RMs and MAs
  • Group RCU
  • Group Internal Audit
  • Various officers of BOS/OCBC including HR, GM
  • BOS senior management and BOS Head of Compliance.



External Relationships:


  • Lawyers
  • Regulatory authorities
  • External auditors



Core Competencies:
The jobholder must have the following attributes:


  • An in-depth working knowledge of Anti-Money Laundering practices, particularly on-boarding of high-risk clients, including PEPs
  • Ability to plan, work on own initiative and meet strict deadlines
  • General knowledge of Wealth Management business from a Compliance, operations, and risk management perspective
  • Effective written and verbal communication skills
  • Ability to engage with front line staff and provide guidance on an ad-hoc basis taking into account the Compliance and business objectives of the Branch
  • Ability to provide independent judgment when necessary and provide clear rationale for decision making
  • A sound working knowledge of UK financial services regulation, especially AML but also including conduct risk management, best execution, appropriateness and suitability regimes, and financial promotions
  • Experience in oversight of elective and per se professional business.



Qualifications/Other Requirements:

  • Compliance experience within the Banking/Financial Industry
  • General working knowledge of the Private Banking/Wealth Management industry
  • University Degree, preferably in Finance/Economics/Law or related studies
  • Good understanding of banking/financial products, particularly in the Private Banking/Wealth Management business
  • Experience of working with an overseas Head Office would be an advantage.



Regulatory Requirements:

  • Comply at all times with the requirements of the Financial Services and Markets Act 2000 and the Financial Services Act 2012
  • Comply at all times with all Compliance and Training & Competence requirements of the Bank
  • Act with integrity
  • Act with due skill, care and diligence
  • Be open and cooperative with the FCA, PRA and other regulators
  • Pay due regard to the interests of customers and treat them fairly
  • Observe proper standards of market conduct.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Senior Compliance Officer

SAVE
£80000 - £90000 per annum


Job Purpose:


  • Act as the main AML resource in the UK Branch and assist the Head of Compliance with regulatory oversight of the Branch
  • Engage with the Business to maintain and enhance a robust control environment
  • Support the Business with strategic objectives ensuring it operates in accordance with all applicable laws and regulations.



Job Responsibilities:


  • Act as the main AML resource and ensure that the client onboarding process fully meets all AML and other regulatory requirements
  • Maintain an appropriate monitoring programme in accordance with Group and local regulatory requirements
  • Assist the Head of Compliance in preparing for visits/audits from internal and external audit and local/overseas regulators
  • Support the Head of Compliance in maintaining policies, procedures and documentation in line with UK regulation and Group internal requirements
  • Maintain knowledge and awareness of key regulatory changes impacting the Business, including review of relevant FCA consultation papers, discussion papers, policy statements, and thematic reviews; conduct gap analysis where appropriate for the Head of Compliance
  • Assist in regulatory oversight of the Business to ensure compliance with all applicable regulations, including financial promotions
  • Maintain regulatory knowledge by attending external seminars, briefings, meetings etc
  • Any other duties as required from time to time.



Internal Relationships:


  • Head of Compliance
  • RMs and MAs
  • Group RCU
  • Group Internal Audit
  • Various officers of BOS/OCBC including HR, GM
  • BOS senior management and BOS Head of Compliance.



External Relationships:


  • Lawyers
  • Regulatory authorities
  • External auditors



Core Competencies:
The jobholder must have the following attributes:


  • An in-depth working knowledge of Anti-Money Laundering practices, particularly on-boarding of high-risk clients, including PEPs
  • Ability to plan, work on own initiative and meet strict deadlines
  • General knowledge of Wealth Management business from a Compliance, operations, and risk management perspective
  • Effective written and verbal communication skills
  • Ability to engage with front line staff and provide guidance on an ad-hoc basis taking into account the Compliance and business objectives of the Branch
  • Ability to provide independent judgment when necessary and provide clear rationale for decision making
  • A sound working knowledge of UK financial services regulation, especially AML but also including conduct risk management, best execution, appropriateness and suitability regimes, and financial promotions
  • Experience in oversight of elective and per se professional business.



Qualifications/Other Requirements:

  • Compliance experience within the Banking/Financial Industry
  • General working knowledge of the Private Banking/Wealth Management industry
  • University Degree, preferably in Finance/Economics/Law or related studies
  • Good understanding of banking/financial products, particularly in the Private Banking/Wealth Management business
  • Experience of working with an overseas Head Office would be an advantage.



Regulatory Requirements:

  • Comply at all times with the requirements of the Financial Services and Markets Act 2000 and the Financial Services Act 2012
  • Comply at all times with all Compliance and Training & Competence requirements of the Bank
  • Act with integrity
  • Act with due skill, care and diligence
  • Be open and cooperative with the FCA, PRA and other regulators
  • Pay due regard to the interests of customers and treat them fairly
  • Observe proper standards of market conduct.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Head of Financial Crime

SAVE
£70000 - £90000 per annum Benefits

DESCRIPTION


We believe SMEs have been vastly underserviced and overlooked by traditional banks. Something as simple as opening an account can take weeks, mountains of paperwork and too much time.

Through a mobile-first platform, we provide modern business banking services to small-business owners, saving them time so they can get back to doing what they love.


We’re offering the right person, the opportunity to join our dynamic team to help unlock the next stage of our growth.


Your day will look a little like this:
As the Head of Financial Crime, you will report directly to the VP, Risk and Compliance/MLRO. You will be responsible for the financial crime team, including:

  • Our awesome FinCrime Analysts! This includes managing their day-to-day workload and taking responsibility for their personal development, advising on cases, and managing the overall workload of the team
  • Dealing with any financial crime related enquiries across the business
  • Working closely with all other departments, third parties such as our partner bank, law enforcement, other financial institutions and financial crime prevention bodies
  • Reviewing SARs, ensuring they are of the highest quality
  • Working with the Product Owner to build new systems and controls, and enhance current ones
  • Scaling the team and operations as the business grows
  • And much more!


Our FinCrime team is already great – we want you to keep driving that whilst we go through significant growth!


Who are we looking for?

  • You must be passionate about fighting financial crime! This is not just a regulatory requirement to us, we really care about protecting the business and our customers
  • Worked with all financial crime types – we don’t differentiate, it’s all handled within the financial crime team
  • Detailed knowledge of SARs and what a great SAR looks like
  • A good understanding of financial crime control frameworks
  • Worked in a financial crime role in business banking
  • Be comfortable with technology and how it can be used for financial crime prevention – you don’t have to know how to code or be a developer, but you have to understand the utilisations, how to make efficiencies, and be able to work with our amazing Product Owner to achieve this
  • Be comfortable with data - you don’t need to be an expert, but you’ll be able to work with a spreadsheet and dashboards
  • Ideally experience within a FinTech would be advantageous but we’d also welcome banking experience too
  • Management experience


What are we like to work for?

  • We’re not corporate, we’re a start-up. You will have an unparalleled exposure to many areas of the business – improve and impact how we work
  • We will give you the freedom to be inquisitive and proactive – pursue your interests and develop career with us as we scale
  • We’re open and progressive – input is encouraged at all levels
  • We’re a social bunch. We celebrate the milestones, big and small and genuinely enjoy each other’s company!


Diversity is what makes our world interesting. Different people bring fresh new ideas, thinking and approaches, which make the way work is undertaken more effective and efficient.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.