Supporting the first line of defence to ensure the firm identifies and satisfies its anti-money laundering (‘AML’),
anti-terrorist financing (‘ATF’), anti-bribery and corruption (‘ABAC’) regulatory and compliance obligations in Europe and the Asia-Pacific region
Key responsibilities are:
Development of AML/ATF/ABAC compliance strategies and practices in line with legislative,
regulatory and industry requirements;
Developing and managing on-going relationships with the Regulators and applicable law
enforcement;
Oversight for all outsourced AML/ATF/ABAC activities being performed by affiliates;
Assessing and assisting the businesses/departments of the UK in their adherence to applicable
AML/ATF/ABAC regulatory guidelines and internal policies and procedures. This role entails having a solid appreciation of AML/ATF/ABAC regulatory risks;
Taking the lead on and/or participating in global and/or UK initiatives;
Establishing and updating guidelines and policy for the development of AML/ATF/ABAC and
Compliance strategies, practices and management; and
Overseeing/performing and managing the monitoring, maintenance and review of the
AML/ATF/ABAC platform in the UK.
Duties and Accountabilities:
Main duties will include but are not restricted to:
Monitoring AML/ATF/ABAC industry developments and keeping abreast of new and amended laws
and regulations impacting the AML/ATF/ABAC Programme and Risk Assessment including assistance
with implementation;
Identifying and execution of a GAML training programme, to include new hires and annual refresher
training, but also other formal and informal training on topical matters, influenced by, for example,
AML/ATF/ ABAC regulatory change and relevant internal assessments;
Close liaison with the GAML Teams across the firm
Executive level reporting, including identifying and escalating AML/ATF/ABAC issues and events,
initiatives, trends, and assesses the effectiveness of the firms UK’s AML/ATF/ABAC systems and controls;
Oversee Gifts and Entertainment pre-approval & monitoring process;
Approval of high risk customers for the UK;
Representing the UK from an AML/ATF/ABAC perspective in internal and external forums;
Oversee AML/ATF/ABAC risk assessments;
Perform/review Enhanced due diligence reviews on high risk customer files for the the UK business;
and Perform sundry duties, projects and such other responsibilities as assigned by the manager.