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Financial Crime Analyst- Monitoring & Investigations

London, United Kingdom
Closing date
May 1, 2024

View more

Job Function
Wealth Management
Industry Sector
Finance - General
Employment Type
Full Time
What the Hiring Manager Says

This role will perform financial crime monitoring and thematic review activity across Quilter, alongside investigations activity. The role will report into Head of Financial Crime Investigations and will operate flexibly depending on financial crime plan and resourcing requirements.

About the Role

Level: 3

Department: Risk

Location: Southampton, England /London, England

Contract type: Permanent

You will undertake a wide range of Financial Crime tasks, involving:
  • Undertaking financial crime monitoring and thematic reviews, involving: interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business, ensuring the focus on the quality of review documents and outputs, highlighting the 'so what' factor.
  • Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication and escalating any risks of overdue actions ahead of time.
  • Assisting with the identification, gathering and production of Management Information, Reporting Information and Financial Crime Risk Assessments.
  • Investigating allegations of financial crime issues, analysing all information available, undertaking root cause analysis, summarising findings, recommending and taking necessary action. Ensuring investigation work is thoroughly documented and completed in a timely manner.
  • Carrying out Politically Exposed Persons (PEPs), sanctions and adverse media screening and alert elimination, in accordance with the risk-based approach.
  • Undertaking enhanced due diligence for high-risk clients, including PEPs, and transactions.
  • Carrying out routine monitoring of high-risk business in accordance with the risk-based approach, including PEPs.
  • Transaction monitoring, including the setting of parameters, investigating matches, and reviewing the parameters on a periodic basis.
  • Dealing with queries on AML client concessions where clients are unable to provide standard ID or pass EIDV. Maintain MI on AML concessions.
  • Assisting with financial crime reporting and data as required by the Group Financial Crime team.
  • Assisting with 3rd party due diligence questionnaires and 3rd party supplier management referrals.
  • Identifying opportunities for improvement to financial crime prevention practices, investigation processes, and making recommendations for change to the MLRO.
  • Building and maintaining relationships with other colleagues in industry, to promote networking and the sharing of best practice.
  • Promoting the importance of robust financial crime controls, in order to meet legal and regulatory obligations.
About You

Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

You will have:
  • a good level of understanding and experience of Financial Crime legislation and regulation: AML/CTF; Sanctions; Anti-Bribery and Corruption; and Fraud, from a financial services company
  • experience in financial crime monitoring;
  • strong attention to detail, and the ability to see the bigger picture.
  • planning, analytical and communications (both verbal and written) skills are essential.
  • high energy and drive and be delivery focused, and the ability to work well on your own or within a team.
The ideal candidate would have relevant qualifications in financial crime or be willing to work towards these in future.

Our purpose is to help the generations today and tomorrow to prosper. That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financial futures.

In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.

Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us. We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativity that we need, to help us get there.

We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learning more about joining us.


Core Benefits

Holiday: 26 days

Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions

Private Medical Insurance: Single cover as standard, cover can be increased at your own cost

Life Assurance: 4x your salary, cover can be increased at your own cost

Income Protection: 75% of salary payable after 26 weeks of absence

In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.

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