Job Details

As a member of the Quality Assurance Team, the primary objective of this role is to enhance our control environment by conducting thorough quality assurance checks on the AML Client Risk Assessment and Trigger Event Review processes, critical business transactions, and key client interactions.

Additionally, this role serves as a pivotal contact point for AML/CFT inquiries.

To contribute to the delivery of your own and the team’s objectives, ensuring that the organization's strategic goals are achieved. This requires excellent, proactive, and quality-based attributes across a range of service disciplines.

To enable this multi-disciplined approach, cross-skilling, learning, and development are integral features of the International Technical Operations philosophy

Key Responsibilities

Quality Assurance:

• AML/CFT
• Transactional Risk & Control
• Key Interaction
• Conduct comprehensive quality assurance testing for the Client Risk Assessment and Trigger Event Review process, ensuring compliance with Anti-Money Laundering (AML) requirements
• Conduct comprehensive quality assurance testing for Client services’ transactions, ensuring compliance with regulatory requirements, procedures, risks and controls
• Conduct comprehensive quality assurance testing for Client services’ key interactions, ensuring strict adherence to identification and verification requirements and procedures
• Address challenges to findings with a calm and confident demeanour, demonstrating a willingness to listen to and understand colleagues' perspectives
• Capture and track remedial actions required to resolve regulatory issues and AML incidents identified through the QA process, whether on an individual case basis or as a broader issue
• Review and escalate regulatory breaches, including those related to AML and Counter Financing of Terrorism (CFT) regulations
• Analyse trends from findings to identify patterns and areas for improvement

Ongoing improvement

• Contribute to process updates and automation opportunities by collaborating with team members and other departments within Client Services
• Identify open risks and support their resolution

Culture and Awareness

• Support the AML Technical team’s objective of developing and strengthening AML knowledge across client services
• Provide clear and accurate feedback to support the completion of Client services’ Risk & Control Assessments
• Offer expert guidance to colleagues on the business’s Customer Risk Assessment and Trigger Event Review framework
• Drive the AML Technical team’s objective of developing and strengthening AML knowledge across client services
• Ensure all identified operational risk events, including regulatory, data breaches, fraud referrals and suspicious transactions referral are reported within the required timescales
• Identify key risks and escalate appropriately
• Assist the business in minimising risk incidents and improve processes by identifying potential risks and gaps through QA
• Foster strong working relationships with colleagues in Client Services
• Set the tone in terms of getting it right first-time culture with limited need for remediation work and where action is required this is addressed in a timely manner.

MI Production

• Present findings in a structured and clear manner, both in written and verbal formats, tailored to various audiences. This includes colleague meetings, one-on-one face-to-face meetings, Teams calls, SharePoint updates, PowerPoint presentations, and formal reports

Process Management

• Solutions-based approach to understanding issues which arise, and implement actions according to policies and procedures

Self-Management

• Responsible for managing case load and management
• Accountable for own personal development
• Ensure adherence to all company policies including risk, compliance, and HR policies

Key Requirements

Person Specification

• A comprehensive understanding of Client Risk Assessment and Trigger Event Review processes is highly desirable
• Experience in Anti-Money Laundering (AML) and Countering Financing of Terrorism (CFT) is essential
• Excellent communication and interpersonal skills
• Proven ability to work effectively both independently and as part of a team
• Demonstrated ability to meet tight deadlines
• Innovative and proactive in taking bold steps forward
• Committed to upholding integrity and ethical standards
• Continuously question conventions and maintain a curious mindset
• Leverage expertise to consistently deliver on commitments
• Demonstrate perseverance to achieve the right outcomes
• Act with precision and care
• Collaborate effectively, learn from experiences, and adapt accordingly experience, and adapt
• Promote open and transparent communication
• Actively listen to incorporate diverse perspective

Preferred Experience

• AML Accredited