Lamwork
The AML Manager supervises a team of AML reviewers, the AML Manager formulates policies and procedures while providing advice to business units and conducting compliance training. They oversee AML compliance officers, review Client Due Diligence (CDD) analyses, and resolve sanction hits. Additionally, they conduct AML/CFT compliance reviews, identify issues, and monitor progress for improvement actions recommended by internal and external bodies.
Core Responsibilities
Oversee all AML-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the competent supervisory authorities, and providing updates to the senior management), Represent the key coordination function within the internal control system Work in close cooperation with the Legal, Compliance, Product management and Ops department to ensure AML with internal standards and legal provisions Create and maintain written policies and procedures to meet changing regulatory and business requirements, particularly by keeping abreast of legal and regulatory developments in the German & European fintech space Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies Organizing AML trainings of local employees. Review enhanced due diligence for customers identified as high risk Assist in developing and implementing an effective AML/CFT compliance frameworks across the bank Provide advisory support to business units in the implementing and regular review of AML/CFT policies and procedures Promote continuous improvement of AML/CFT controls Keep abreast of the latest compliance and AML/CFT regulatory requirements and trends Additional Responsibilities
Undertake on going structured programme to assess continued suitability of AML framework Ensure the production of MI for management team and regulator as requested Represent the team at the Compliance Assurance Forum Support line reports in terms of development and undertake structured on-going performance management Assume responsibility of the regulatory procedures review on a calendar basis recommending amendments are required Proactively assess impact of regulatory updates in Guernsey, Jersey and the UK on Aztec recommending required actions and ensuring allocation of responsibility and tracking to completion Identify training needs of the team and working with the senior manager develop a structured training programme for the team Act as MLRO/Deputy MLRO as required Support the team and the Client Facing Teams with the assessment of complex CDD matters Represent Aztec at client and industry forums are required Deputise for Senior AML Manager as appropriate Support in delivery of key strategic projects Strategy and Improvement
Drive sustained improvement of the AML department by developing policies and procedures in line with changes to the business and regulatory requirements Work with international teams to develop the department's approach by acquiring local market knowledge Lead the development a small team of AML Officers Continue to develop and adapt the approach towards AML & CTF as the business expands Operate as the Subject Matter Expert on AML, providing guidance to the business and supporting the wider team Manage for the delivery of group wide training programmes Assist with regulatory and other ad hoc projects to deliver change Demonstrable experience of leading an AML/Financial crime team in a regulated environment, ideally within the Gambling industry A passionate and enthusiastic individual, eager to take the next step in their career Personable, yet firm. Not afraid to challenge and direct where required Detail oriented with the ability to confidently make decisions in a timely manner Policy and Procedures
Responsible for developing, implementing, maintaining and enhancing the Anti-Money Laundering Policies and Procedures Put in place appropriate measures to ensure that money laundering and the financing of terrorism risks are taken into account in the firm’s day-to-day operation Provide advice to business in the implementation of internal policies, procedures and processes to meet the requirements of the AML/CFT policy Handle and advise internal stakeholders on AML/CFT related enquiries during day-to-day operations Conduct of money laundering / terrorist financing risks assessment on new products and services (i.e. new coins listing, new business activities) Identify situations that may pose significant risk and provide solution and advice on how to remediate Identify and implement enhancements on AML systems Conduct review and carry out investigations on any suspicious transactions Review and monitor the Company’s ML/TF risk exposures, and escalate any significant vulnerabilities/STRs to senior management as well as the Risk and Compliance Committee Responsible for filing of STR reports Collaborate closely with business and operations team on the entire AML framework Responsible for developing and implementing ongoing AML training programs for employees Monitor and keep abreast of any regulatory changes and its impact of AML/CFT developments Provide support to senior management to ensure AML/CFT risks are adequately identified and managed Team Leadership and Diligence
Manage a team of analysts and executives who are responsible for performing critical daily tasks in relation to AML and Due Diligence. Overseeing the completion of due diligence checks including customer due diligence, enhanced due diligence and source of funds. Overseeing the daily monitoring of PEPs and Sanctions alerts. Assisting in the creation of trigger points to highlight customers for an AML review. Assisting with the creation of policies and processes. Assisting in keeping the business risk assessment comprehensive and up to date. Working closely with the Head of Operations, Safer Gambling Manager and Compliance specialist to deliver the overall compliance strategy. Lead a team to carry out the organisation's AML investigation and compliance duties Review investigation reports and ensure their accuracy and quality Contribute to the organisation AML strategy planning and directions Analysis relevant data and prepare management reports on the organisation's risk level Initiate and lead projects to drive improvement and enhancement for financial crime mitigation Qualifications
Leadership and Team Management (Soft Skills) AML Policy Formulation (Hard Skills) AML Advisory (Soft Skills) Supervision of AML Compliance Officers (Soft Skills) Politically Exposed Persons (PEP) Checks (Hard Skills) Compliance Review and Issue Identification (Hard Skills) AML Compliance Oversight (Hard Skills) Internal Control Coordination (Soft Skills) Policy and Procedure Development (Hard Skills) Regulatory Compliance Monitoring (Hard Skills) KYC Process Management (Hard Skills) Training Facilitation (Soft Skills) Enhanced Due Diligence Review (Hard Skills) AML Framework Assessment (Hard Skills) MI Reporting (Hard Skills) Performance Management (Soft Skills) Regulatory Procedure Review (Hard Skills) Regulatory Updates Assessment (Hard Skills) Training Needs Analysis (Soft Skills) MLRO/Deputy MLRO Duties (Hard Skills) Policy and Procedure Development (Hard Skills) Team Leadership and Development (Soft Skills) Training Program Management (Hard Skills) Project Management (Hard Skills) Leadership Experience in AML/Financial Crime (Hard Skills) Policy Development and Implementation (Hard Skills) Compliance Advisory (Hard Skills) Stakeholder Management (Soft Skills) Problem-Solving and Advisory (Soft Skills) Transaction Review and Investigation (Hard Skills) Regulatory Compliance Management (Hard Skills) Process Administration (Hard Skills) Client Onboarding and Monitoring (Hard Skills) Policy and Procedure Enforcement (Soft Skills) Training Development and Delivery (Soft Skills) Legal and Regulatory Knowledge (Hard Skills) Procedure Development and Improvement (Hard Skills) Report Preparation and Presentation (Hard Skills) AML/CFT Program Development (Hard Skills) Policy and Procedure Creation (Hard Skills) Decision-Making on AML/PEP/Sanctions/Adverse News (Hard Skills) Quality Monitoring (Hard Skills) Reporting to Senior Management (Soft Skills) Regulatory Compliance Management (Hard Skills) Inspection and Audit Management (Hard Skills) Direct Client Communication (Soft Skills) Research and Analysis (Hard Skills) Compliance Training Assistance (Soft Skills) Politically Exposed Person (PEP) Screening (Hard Skills) Source of Wealth and Funds Analysis (Hard Skills) Advisory Support and FAQ Assistance (Soft Skills) AML Transaction Monitoring System Oversight (Hard Skills) Regulatory Compliance Management (Hard Skills) Internal Reporting (Hard Skills) Executive Communication (Soft Skills) Data Quality Management (Hard Skills) Documentation Review and Analysis (Hard Skills) Stakeholder Relationship Management (Soft Skills)
#J-18808-Ljbffr
Oversee all AML-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the competent supervisory authorities, and providing updates to the senior management), Represent the key coordination function within the internal control system Work in close cooperation with the Legal, Compliance, Product management and Ops department to ensure AML with internal standards and legal provisions Create and maintain written policies and procedures to meet changing regulatory and business requirements, particularly by keeping abreast of legal and regulatory developments in the German & European fintech space Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies Organizing AML trainings of local employees. Review enhanced due diligence for customers identified as high risk Assist in developing and implementing an effective AML/CFT compliance frameworks across the bank Provide advisory support to business units in the implementing and regular review of AML/CFT policies and procedures Promote continuous improvement of AML/CFT controls Keep abreast of the latest compliance and AML/CFT regulatory requirements and trends Additional Responsibilities
Undertake on going structured programme to assess continued suitability of AML framework Ensure the production of MI for management team and regulator as requested Represent the team at the Compliance Assurance Forum Support line reports in terms of development and undertake structured on-going performance management Assume responsibility of the regulatory procedures review on a calendar basis recommending amendments are required Proactively assess impact of regulatory updates in Guernsey, Jersey and the UK on Aztec recommending required actions and ensuring allocation of responsibility and tracking to completion Identify training needs of the team and working with the senior manager develop a structured training programme for the team Act as MLRO/Deputy MLRO as required Support the team and the Client Facing Teams with the assessment of complex CDD matters Represent Aztec at client and industry forums are required Deputise for Senior AML Manager as appropriate Support in delivery of key strategic projects Strategy and Improvement
Drive sustained improvement of the AML department by developing policies and procedures in line with changes to the business and regulatory requirements Work with international teams to develop the department's approach by acquiring local market knowledge Lead the development a small team of AML Officers Continue to develop and adapt the approach towards AML & CTF as the business expands Operate as the Subject Matter Expert on AML, providing guidance to the business and supporting the wider team Manage for the delivery of group wide training programmes Assist with regulatory and other ad hoc projects to deliver change Demonstrable experience of leading an AML/Financial crime team in a regulated environment, ideally within the Gambling industry A passionate and enthusiastic individual, eager to take the next step in their career Personable, yet firm. Not afraid to challenge and direct where required Detail oriented with the ability to confidently make decisions in a timely manner Policy and Procedures
Responsible for developing, implementing, maintaining and enhancing the Anti-Money Laundering Policies and Procedures Put in place appropriate measures to ensure that money laundering and the financing of terrorism risks are taken into account in the firm’s day-to-day operation Provide advice to business in the implementation of internal policies, procedures and processes to meet the requirements of the AML/CFT policy Handle and advise internal stakeholders on AML/CFT related enquiries during day-to-day operations Conduct of money laundering / terrorist financing risks assessment on new products and services (i.e. new coins listing, new business activities) Identify situations that may pose significant risk and provide solution and advice on how to remediate Identify and implement enhancements on AML systems Conduct review and carry out investigations on any suspicious transactions Review and monitor the Company’s ML/TF risk exposures, and escalate any significant vulnerabilities/STRs to senior management as well as the Risk and Compliance Committee Responsible for filing of STR reports Collaborate closely with business and operations team on the entire AML framework Responsible for developing and implementing ongoing AML training programs for employees Monitor and keep abreast of any regulatory changes and its impact of AML/CFT developments Provide support to senior management to ensure AML/CFT risks are adequately identified and managed Team Leadership and Diligence
Manage a team of analysts and executives who are responsible for performing critical daily tasks in relation to AML and Due Diligence. Overseeing the completion of due diligence checks including customer due diligence, enhanced due diligence and source of funds. Overseeing the daily monitoring of PEPs and Sanctions alerts. Assisting in the creation of trigger points to highlight customers for an AML review. Assisting with the creation of policies and processes. Assisting in keeping the business risk assessment comprehensive and up to date. Working closely with the Head of Operations, Safer Gambling Manager and Compliance specialist to deliver the overall compliance strategy. Lead a team to carry out the organisation's AML investigation and compliance duties Review investigation reports and ensure their accuracy and quality Contribute to the organisation AML strategy planning and directions Analysis relevant data and prepare management reports on the organisation's risk level Initiate and lead projects to drive improvement and enhancement for financial crime mitigation Qualifications
Leadership and Team Management (Soft Skills) AML Policy Formulation (Hard Skills) AML Advisory (Soft Skills) Supervision of AML Compliance Officers (Soft Skills) Politically Exposed Persons (PEP) Checks (Hard Skills) Compliance Review and Issue Identification (Hard Skills) AML Compliance Oversight (Hard Skills) Internal Control Coordination (Soft Skills) Policy and Procedure Development (Hard Skills) Regulatory Compliance Monitoring (Hard Skills) KYC Process Management (Hard Skills) Training Facilitation (Soft Skills) Enhanced Due Diligence Review (Hard Skills) AML Framework Assessment (Hard Skills) MI Reporting (Hard Skills) Performance Management (Soft Skills) Regulatory Procedure Review (Hard Skills) Regulatory Updates Assessment (Hard Skills) Training Needs Analysis (Soft Skills) MLRO/Deputy MLRO Duties (Hard Skills) Policy and Procedure Development (Hard Skills) Team Leadership and Development (Soft Skills) Training Program Management (Hard Skills) Project Management (Hard Skills) Leadership Experience in AML/Financial Crime (Hard Skills) Policy Development and Implementation (Hard Skills) Compliance Advisory (Hard Skills) Stakeholder Management (Soft Skills) Problem-Solving and Advisory (Soft Skills) Transaction Review and Investigation (Hard Skills) Regulatory Compliance Management (Hard Skills) Process Administration (Hard Skills) Client Onboarding and Monitoring (Hard Skills) Policy and Procedure Enforcement (Soft Skills) Training Development and Delivery (Soft Skills) Legal and Regulatory Knowledge (Hard Skills) Procedure Development and Improvement (Hard Skills) Report Preparation and Presentation (Hard Skills) AML/CFT Program Development (Hard Skills) Policy and Procedure Creation (Hard Skills) Decision-Making on AML/PEP/Sanctions/Adverse News (Hard Skills) Quality Monitoring (Hard Skills) Reporting to Senior Management (Soft Skills) Regulatory Compliance Management (Hard Skills) Inspection and Audit Management (Hard Skills) Direct Client Communication (Soft Skills) Research and Analysis (Hard Skills) Compliance Training Assistance (Soft Skills) Politically Exposed Person (PEP) Screening (Hard Skills) Source of Wealth and Funds Analysis (Hard Skills) Advisory Support and FAQ Assistance (Soft Skills) AML Transaction Monitoring System Oversight (Hard Skills) Regulatory Compliance Management (Hard Skills) Internal Reporting (Hard Skills) Executive Communication (Soft Skills) Data Quality Management (Hard Skills) Documentation Review and Analysis (Hard Skills) Stakeholder Relationship Management (Soft Skills)
#J-18808-Ljbffr