Group Lead-Compliance

Job Description

The Financial Crime Officer is a role within the EMEA Financial Crime Prevention (FCP) Team with day-to-day responsibility for oversight of key financial crime processes and risk and control activities, such as financial crime risk assessments, review of management information, training, issue management and production of reports to senior management. Key Responsibilities Process Oversight Provide oversight as to the operation of controls on key financial crime processes owned by 1LOD and 2LOD. Perform Quality Assurance testing over FCP owned controls and processes Support the documentation of relevant desktop guides to manage processes performed by the FCP Team. Support in the ongoing management and review of the transaction monitoring risk assessment Risk & Control Activities Support production of various Board, Committee and Forum papers produced by the FCP Team Support production of financial crime training material. Support the execution of annual risk assessments performed by the FCP Team. Support the ongoing development and review of the FC Risk Assessment methodology. Provide ongoing oversight of the population of open financial crime issues. Support ongoing review and management of policies, procedures and supplementary documents owned by FCP. Support the evaluation of regulatory developments identified in the Regulatory Developments log to understand their impact and the potential changes required to Policy and procedures. Support ongoing management and periodic review of the FC Control Inventory. Advisory Recommend new/improved procedures, processes and other infrastructure to support risk management and compliance as necessary, identifying if and how FCP s P&P will reflect the regulatory requirements. Provide business, operational and long term strategic guidance in the development of regulatory compliance strategies for FCP across a wide and diverse range of business/operational issues, processes and applications. Responsible for advising LOB on required processes and procedures to meet policies and procedures. Required Qualifications Experience within a 2LOD Compliance or Financial Crime role within a regulated financial institution Experience with UK Financial Crime regulations and applicable guidance Expertise in financial crime, including, Anti-Money Laundering, Sanctions , Anti Bribery and Corruption and Fraud Practical exposure to financial crime processes e. g. CDD, client screening, investment screening, transaction monitoring Prior experience of management of a financial crime risk management framework Experience of oversight of key financial crime systems responsible for screening or monitoring. Solid understanding of products and associated financial crime risks Preferred Qualifications Experience in an asset management firm An ability to communicate effectively both orally and in writing with a wide cross section of personnel both externally and internally; A logical and practical approach to their work with attention to detail; The ability to meet deadlines with minimum supervision; An ability to remain objective and take a balanced view; Excellent management of Senior Executive relationships A proactive approach to projects and responsibilities. Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 125 years. We are a U. S. based financial planning company headquartered in Minneapolis with a global presence. The firm s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if youre talented, driven and want to work for a strong ethical company that cares, take the next step and create a career at Ameriprise India LLP. Full-Time/Part-Time Timings (2:00p-10:30p) India Business Unit AWMPO AWMP&S Presidents Office Job Family Group Legal Affairs