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    Ongoing Screening Team Lead (Financial Crime)

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      Ongoing Screening Team Lead (Financial Crime)




      The Ongoing Screening Team Lead is responsible for coaching and motivating the Ongoing Screening team. They provide guidance and instructions to the team, organise the day-to-day activities, track progress, allocate resources and report, represent and advocate for the team to the Head of Financial Crime Compliance and MLRO.


      The firm has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.


      The Ongoing Screening Team is part of the Financial Crime Compliance Department. The team handles the daily outputs from the company’s name screening systems, liaising with the KYC and EDD teams to ensure alerts receive the appropriate treatment and any financial crime or sanctions risk flagged by the name screening system is appropriately accounted for or escalated to the relevant stakeholder. The team reports directly to the firm’s Head of Financial Crime Compliance and MLRO.


      Key Responsibilities

      ● Undertakes a daily review of outputs from the firm’s name screening systems and organises the day-to-day activities of the team.

      ● Manages the ongoing screening mailbox, responds to internal and external queries, and ensures the ongoing screening escalations tracker is accurately populated.

      ● Assists team members in investigating and closing or escalating ongoing screening alerts relating to sanctions, PEPs or financial crime adverse information to relevant stakeholders.

      ● Ensures alerts are closed in line with agreed SLAs, avoiding or alerting the function to the potential of backlogs.

      ● Assists the team in reviewing, discounting or escalating alerts during periods of increased activity.

      ● Acts as a point of contact in relation to the operation of the name screening system.

      ● Produces the team relevant MI.

      ● Ensures compliance with the company’s regulatory requirements.

      ● Adheres to the operational risk framework for the role ensuring that all regulatory or company determined parameters are complied with.

      ● Demonstrates a high level of integrity and conduct and reflects the company’s values.

      ● Complies at all times with the FCA’s and the firm’s Code of Conduct.

      ● Adheres to the firm’s policies relating to employees, the specific role or any other activities for which the individual is responsible.

      ● Reports, as required, any breaches of policy to Enterprise Compliance and / or the immediate supervisor/manager.

      ● Escalates risk events immediately.

      ● Providing input to risk management processes, as required.


      Skills, Knowledge & Experience

      ● Excellent verbal and written communication skills.

      ● Good understanding of financial crime and financial services and products.

      ● Good PC operating skills, especially MS Excel

      ● Organizational and time-management skills.

      ● Decision-making skills.

      ● Understanding of performance metrics.

      ● Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.


      Person Specification

      ● Excellent analytical and problem-solving abilities.

      ● A curious, collaborative, approachable, self-efficient team player.

      ● Able to influence a positive work environment.

      ● Resilient in a challenging, fast-paced environment.

      ● Excels at building relationships, networking and influencing others.

      ● Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.


      Additiona lnformation

      ● Act with integrity

      ● Act with due skill, care and diligence

      ● Be open and cooperative with the FCA, the PRA and other regulators (where applicable)

      ● Pay due regard to the interests of customers and treat them fairly

      ● Observe proper standard of market conduct.

      Posted by

      Alison Lwin

      Financial Crime Recruiter

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