Associate Director, Financial Crime and Compliance
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Key skills for this role
Key Skills for This Role
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Business responsibilities
- Guide the business on applicable laws, regulations, policies, and compliance requirements.
- Support implementation and maintenance of a risk-based CFCC framework, including monitoring and assurance.
- Identify, assess, and escalate compliance risks and issues within established risk tolerances.
- Promote compliance with CFCC requirements and support fair customer outcomes.
- Assist with conduct investigations into suspicious activity and regulatory reporting processes.
- Assess reputational and regulatory risks and prepare recommendations for management consideration.
- Challenge business stakeholders when activities exceed risk tolerance and escalate as needed.
Processes
- Execute relevant aspects of the Compliance, Financial Crime, and Enterprise risk framework as an independent second-line risk control function.
- Provide specialist advice and constructive challenge proportionate to the nature, scale, and complexity of the group’s business.
- Implement and conduct regular CFCC training programs on regulatory developments, CFCC policies, and standards.
- Assist in setting control standards and developing controls to mitigate regulatory risks.
Risk management
- Escalate compliance and conduct breaches to the Chief Compliance Officer.
- Ensure effective management of identified issues, including comprehensive and timely remediation actions.
- Support businesses and functions in maintaining appropriate conduct, complying with CFCC requirements, and achieving fair client outcomes.
Requirements
- Provide guidance on applicable laws, regulations, policies, and compliance requirements.
- Support implementation and maintenance of a risk-based CFCC framework.
- Identify, assess, and escalate compliance risks and issues within established risk tolerances.
- Support conduct investigations into suspicious activity and regulatory reporting processes.
- Execute compliance risk controls independently and provide specialist advice and constructive challenge.
- Implement and conduct ongoing CFCC training programs for staff.
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