Compliance Manager, Financial Crime, Compliance

Position Description This role is responsible for overseeing the firm’s financial crime prevention framework, ensuring compliance with FCA regulations and internal policies. It involves maintaining AML procedures, conducting risk assessments, and supporting client onboarding, particularly for higher-risk clients. The role also includes monitoring screening systems and assisting with investigations and SAR submissions. Additionally, it supports training, governance, and collaboration with internal and global teams.

Key Areas of Responsibilitie sAdhere to FCA regulations and the CLSA code of conduct at all times .Assisting with developing and maintaining the firms AML and financial crime policies in line with evolving statutory and regulatory obligation sIn consultation with management, determining and updating the money laundering risk-based approach and the risk assessment of the firm’s customers, products and service sTaking a key role in the client On-boarding process carrying out an advisory, review and approval function particularly in regard to higher risk client sEnsuring that firm’s clients and associated individuals are screened regularly against sanction lists and for any PEPs, disciplinary action and adverse media and appropriate action taken .Daily monitoring of World Check One system to ensure relevant alerts are reviewed and cleared or escalated as necessary .Developing and maintaining appropriate risk-based monitoring processes that are proportionate to the scale, nature and complexity of the firm’s operation sAssisting with internal suspicious activity reports and investigations including SAR preparation and submitting to the NCA as necessary .Ensuring that all relevant staff are adequately trained in financial crime prevention, that the standards and scope of the training is appropriate and that training records are kep tAssisting with Financial Crime governance meeting sLiaising with Group and Head Office departments to maintain and develop AML policies and procedures globally, including participation in the Global Financial Crime Committee (GFCC )Assisting the CLSA Europe Compliance team in Financial Crime matter sKnowledge of, and adherence to, the Company’s Environmental Management Systems and policie