Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

As a Compliance Risk Management Lead Vice President within Compliance team, you will act as a key member of a highly regarded second-line function providing support and challenge to the EMEA Private Bank business in respect of the firm’s financial crimes compliance framework. The EMEA Private Bank provides comprehensive wealth planning, investing and lending services to clients across the EMEA region. You will represent Global Financial Crimes Compliance in interactions with stakeholders from both the first and second lines of defence. You will liaise with counterparts across a range of functions to assess the impact and risks presented by regulatory changes and new business or products for the Private Bank. You will also play an important role in the execution of the Anti-Money Laundering programme and act as a delegate for the UK branch MLRO.

You will report to the Head of Financial Crimes Compliance Advisory for the EMEA Private Bank and will liaise with counterparts across the EMEA region. 

Job responsibilities

Provide advice, challenge and guidance to the Private Bank business regarding anti-money laundering, terrorism financing and sanctions matters, ensuring local, EU and US regulatory requirements and Global Standards are adhered to, escalating as appropriate to the Head of Financial Crimes Compliance Advisory for EMEA Private Bank, MLROs and relevant committees. Participate in the risk assessment of new business, products, or project initiatives by providing advice from a financial crime, sanctions and KYC perspective.  Coordinate across a range of stakeholder groups to consider the impact of local regulatory changes on the EMEA Private Bank business; for example undertaking impact assessments as they pertain to regulatory change and/or helping to co-ordinate EMEA wide compliance feedback in respect of changes to policies and procedures from relevant SMEs and branch country compliance officers.  Engage with local regulatory and law enforcement authorities and external partners where appropriate. Identify and investigate potential rule and policy breaches, coordinating corrective action with other control functions as necessary/required. Keeping abreast of regulatory change, industry trends and anticipating areas of focus and attention of regulators, keeping stakeholders informed through the provision of regular Management Information and ad hoc briefings as required. Developing and delivering training in respect of the firm’s financial crime framework, including industry developments and regulatory change.  Represent Global Financial Crimes Compliance in first and second line committees and other forums as necessary. 

Required qualifications, capabilities and skills

Strong academic background or work achievements, preferably in a similar financial crime or private banking role. Good working knowledge of UK, EU and US AML/KYC regulations. Proven background in assessing risk and ability to make sound decisions in respect of financial crime/terrorism financing risk, including escalation as appropriate. Good communication skills especially the ability to articulate complex issues to a range of audiences, including Legal and Compliance colleagues, Audit and regulatory authorities. Ability to consistently deliver high quality results and work in a fast-paced, dynamic and demanding environment with control focus and attention to detail along with ability to prioritize, work under pressure and meet tight deadlines. Strong command of English language skills.

Preferred qualifications, capabilities and skills

Knowledge and proficiency in use of automation tools/programming would be beneficial.