As a leading global wealth and investment manager, Barclays provides international and private banking, wealth planning, trust and fiduciary services, investment management, brokerage services and research to private and intermediary clients across the world. Additionally our clients benefit from access to the breadth of personal, corporate and investment banking expertise across Barclays, one of the largest financial services groups in the world.
Our mission is to set a new standard in wealth management by understanding our clients better than anyone else. In pursuit of this objective, we hire and develop only the best people in the industry. We look for talented, tenacious individuals who seek opportunities for self-improvement and career progression. Our long-term agenda can only be achieved through close collaboration and a shared sense of empathy, integrity and trust.
The role holder is responsible for assessing and helping ensure the sufficiency and consistency of franchise-wide financial crime risk management practices and internal controls, as reflected in written procedures and business practices. This is accomplished by conducting on-site assessments, targeted reviews, and ad hoc assignments that help management identify, remediate, and escalate emerging financial crime issues.
- Responsible for assisting in the management of anti-money laundering, bribery, corruption and sanctions risks across all businesses at the firm.
- End to end planning and execution of testing across the Wealth and Investment Management Americas region.
- Providing accurate, consistent and timely reporting to the Regional Head of Financial crimes, and other key stakeholders
- Monitoring of key financial crime controls across the region.
- Managing and providing leadership to other members of team as appropriate
- Advise compliance management on potential client risk by conducting on-demand due diligence research and analysis of information obtained from media and other sources.
- Assist in the management of the enhanced due diligence requests.
- Compilation of clear and concise written report from results of the reviews.
- Prepare recommendations to compliance management outlining any potential risks uncovered in the research.
- Assist in the management of high risk client on-boarding reviews
- BA/BS degree
- 7+ years of experience in Compliance in a large global financial institution
- 2+ years of experience in AML, Sanctions, governance and regulatory control frameworks and best practices
- 2+ years of experience with and understanding of AML Surveillance and Sanctions Screening systems
- 2+ years of experience with Know Your Customer, Due Diligence, and Enhanced Due Diligence processes
- Experience in managing people
- Big 4 experience
- Proficiency in multiple languages
Barclays Investment Bank - 14 months ago
Barclays Bank is the flagship subsidiary of global financial group Barclays PLC. The bank is primarily active in the UK, where it has some...