The EMEA AML Markets Advisory team works with global, regional and country AML Compliance Officers, Sanctions, AB&C and Legal colleagues, to assist the business in complying with all applicable
The team is responsible for ensuring the delivery of AML compliance and regulatory advice and training of Markets and Securities Services products which are booked onto UK legal vehicles by banking teams and Sales and Trading personnel located across 50+ countries in the EMEA region.
The team is also responsible for providing advice and guidance to the Markets Accounts Control Group / Client OnBoarding Group in relation to country applicable regulatory and KYC / due diligence requirements and is the first point of contact for all country Markets and Securities Services Sales and Trading personnel in relation to client / trade AML escalations.
The team works closely with Markets Product Compliance and In-Business Risk functions to ensure that the business is in compliance with legal and regulatory standards and AML policies and standards and ensuring completion of both product and enterprise wide AML risk assessments.
The team is also the point of escalation for Country AMLCO's /AML Cluster Heads for all AML matters relating to the Markets and Securities Services businesses across the EMEA region.
The role will have primary coverage responsibility for Markets and Securities and will report directly to the AML Head of Markets. Additionally, this role would also provide support to CIB team, where required.
The key responsibilities include, but are not limited to:
Maintain the AML compliance program for the business, including assessment of risks, development of policies, procedures, implementation of firm's AML policy, and appropriate governance/MIS mechanisms.
Advise on new Business initiatives, new products, business acquisitions, and client-related matters
Participate in and help or coordinate, as appropriate, various internal assurance processes, e.g. Regional Enterprise wide and Horizontal risk assessments, self-assessment, internal audit or compliance testing review across the region.
Assist in the development and execution of product specific AML training, as required
Work collaboratively with the business, Operations, IT and other strategic partners to design effective AML protocols
Liaise with Deal Teams, Relationship Managers, Legal, Sanctions Team, and Local AML Compliance Officers as necessary, and present to Commitment Committee, BPC or other senior escalation forums as required.
Provide advice and guidance to the KYC Operations teams with respect to UK requirements
Internal Number: 4970514
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