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LMA Recruitment - Compliance & Financial Crime

LMA Recruitment - Compliance & Financial Crime was established in 1999 and is now acknowledged as one of the leading recruitment companies in compliance globally. Compliance & Financial Crime job roles are pivotal to an organisation’s success, protecting businesses while helping them to maintain a competitive advantage. Whether you are looking for temporary or permanent job opportunities in compliance, take advantage of our industry knowledge and global networks to secure your next role.

LMA Recruitment - Compliance & Financial Crime consultants recruit all levels across KYC, AML, Transaction Monitoring and Financial Crime. Entrenched in the market, we keep pace with the regulatory environment. We recruit compliance professionals across the Financial Services industries including banking, asset management, hedge funds, commodities, brokers, professional services and regulators & ratings agencies.

Browse our latest Compliance & Financial Crime jobs or contact one of our consultants to see how we can help you secure your next role.

Looking for a Compliance & Financial Crime professional to join your company? Contact us today.

Our Salary Guide

Download our latest salary guide covering roles across the Compliance & Financial Crime industry.

Latest roles.

KYC Analyst - Private Banking

Role Purpose: The role of the Client On-boarding, KYC/DD is to ensure The Bank is compliant with all relevant UK regulation, London Branch and Group Anti-Financial Crime policies. All new client relationships for London are processed within the team and its performance has a direct impact on the businesses ability to realise revenue opportunities. Consequently, the position involves a high degree of contact with front office stakeholders. The documentation for our new and existing client relationships will require review by the team and any subsequent updates of KYC/CDD/EDD profiles and supporting due diligence checks will be need to be carried out within the agreed TAT/SLA. Initially there will be a certain amount of project work involved with this position, particularly around initiating the process of periodic reviews and updating static data and management information. Review of Client Static Data ensuring details are updated as applicable and relevant, as part of on-going maintenance and client review. Key Accountabilities: The individual will need to demonstrate proven experience of working in a pressurised and delivery focused environment. The candidate will be expected to function with minimal management oversight and meet TAT/SLA targets. The incumbent will undertake complex, sensitive and demanding assignments requiring access to confidential business, financial and commercial information. The incumbent will make strategic recommendations supported by detailed analysis and assist with resolving strategic and operational problems. Issues are of multi-discipline/diverse focus. Relationship & people management: the incumbent will work closely with and facilitate cross-functional teams, as well as providing guidance and assisting staff across the business including the wider COO team. The incumbent will seek guidance and advice from the COO, Head of Account Maintenance Operations, Compliance and business heads on major policy, strategic, sensitive or controversial issues. The primary objective of the role will be to ensure that The Bank's London Branch Client On-boarding Procedures, Anti-Money Laundering and Counter-Terrorist Financing Policy and Operating Guidelines are met and controls are accurately completed. Key responsibilities: New client onboarding, including: Full KYC information and supporting documentation including screening of names and associated parties; Applying the AML risk rating methodology in addition to full compliance with the Group's AML Policy and Procedures; Opening of new accounts on Intellect (and other applicable systems) and other static data requirements within the core Banking system. Periodic reviews of existing clients, including: Annual reviews of High/PEP client relationships and any subsequent updates of KYC/CDD/EDD profiles and supporting due diligence checks including screening of names and associated parties; Reviews of medium clients as above but every 2 years, low risk clients every 3 years. Review of client static data, including: Ongoing management and maintenance of client data standards; Completing/updating PEP Register; Completing/updating Connected Parties Register Central scanning of client files onto their EDMS solution. Frameworks, Boundaries & Decision Making Authority: Functions within the framework and boundaries of Group policies as well as overall organisational and governance frameworks. Making decisions about information and documentation held in the Bank's records and about their acceptability to satisfy FAB's current AML/KYC policy and procedures. Making decisions about On-boarding & KYC documentation requirements. Referring high-risk issues to the UK MLRO/Deputy, including PEPs, adverse news, sanctions issues and high-risk clients. Qualifications/Experience Sound understanding of the UK regulatory environment with regard to financial crime prevention - FCA Financial Crime Rules & Guidance, UK Money Laundering Regulations, UK Bribery Act, FATF and JMLSG Guidance Secondary School/University degree - preferred in economics, legal, banking or business area or equivalent working experience. Experience operating in a Client On-boarding or KYC Remediation function within a Financial Services organisation, including Static Data and KYC/DD experience. Knowledge of the wide range and complex variety of trust/ SPVs /corporate structures is an advantage. Understanding of USA PATRIOT Act, Bank Secrecy Acts and other AML regulatory frameworks. Analytical skills in respect of a wide variety client types, financial institutions, quoted companies, private companies, HNWIs. Experience of dealing with high risk clients and emerging market jurisdictions. Previous experience of managing and meeting client expectations. Working knowledge of screening systems such as World-Check and Accuity, and Banker's Almanac essential. Ability to work well under pressure with high degree of accuracy. Computer literacy (MS Office). Highly motivated and intuitive individual capable of operating with limited management oversight.

  • City of London
  • Permanent
  • £45000 - £50000.00 per annum + Full Banking Benefits & Bonus

General Counsel

Role Description Our client is growing and they are looking for a General Counsel to provide sophisticated and tailored legal advice and assistance on all aspects of the business and operational issues, covering governance, corporate and institutional legal matters. The General Counsel will provide strategic legal services of the highest standard for the Board, the CEO, and the Executive. He/she will have the ability to command the confidence of senior stakeholders in both business and legal matters. The General Counsel guides organisational priority-setting and decision-making and leads and ensures efficient and effective management of the Legal and Governance team, including its staff and financial resources. He/she works closely with other senior executives to ensure effective communication and information flow that facilitates smooth and predictable decision-making and enables the business to deliver to its objectives. This is a demanding and complex task and will require an experienced leader. Responsibilities * Presenting legal advice to company Directors, Board Members or Heads of Department. * Preparing documents, evidence, arguments and identifying legal precedents that can be used to justify the company's decisions or actions. * Establishing effective and best practice governance processes for the Board and its Committees (e.g. putting in place appropriate terms of reference) and ensuring the efficient administration of the Executive meetings and such shadow committees or similar bodies as are appropriate. * Developing long-term strategies with senior management to keep the company's operations within legal spheres. * Provide the necessary legal input on all transaction and contractual negotiations, responsible for protecting the company's interests in the documentation and ensuring that a proper due diligence exercise is undertaken. * Assisting the company to move into new markets in countries with different laws and regulations. * Leading the company's applications for regulatory licenses for various financial services. * Coordinate the company's response to litigation or any potential legal challenges. * Overseeing and managing external legal advisers to ensure delivery and value for money. * Developing and training the legal team to provide sound advice across the company's areas of operations. * Keeping the company informed and up to date on new laws and regulations that might be applicable to its business. Skills and Experience Essential: o An experienced legal leader who has experience in leading a complex legal function and managing change and a track record in building strong corporate governance. o An experienced lawyer with at least 15 years' PQE, with knowledge of corporate governance, commercial, corporate and company law, financial services, ideally Islamic finance and regulatory law acquired both in private practice and in-house. o Provides authoritative risk-based advice in a manner that commands confidence of senior stakeholders.

  • City of London
  • Permanent
  • Up to £80000.00 per annum + excellent benefits & bonus
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