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Senior / Lead Associate, Financial Crime Prevention

  • Job reference DST/TP/17446/11215
  • Job type Full Time
  • Sector
  • Location Basildon
This vacancy has now expired.

Within this role you will be responsible to make relevant updates to the register and respond to customers, IFAs or third parties accordingly. You will able to work within strict guidelines and in line with Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).

You will identify the required documents needed to verify clients' identity in accordance with anti-money laundering regulations.

Package

  • Reference salary based on experience and in line with the ACE salary progression scheme
  • 20 Days holiday (increasing by 1 day for every year's service up to a maximum of 25 days)
  • 6% non-contributory pension scheme
  • Life Assurance (4 x salary)
  • Single person healthcare
  • flex benefits scheme

Main Responsibilities

  • Assisting other area - Ensure that Team Leader is aware if own allocated work is light so additional work can be provided. Be willing to assist in other areas / teams as required
  • Managing work queues - Review work queues to ensure work is processed within SLAs for allocated Management companies and any additional work is completed within guidelines set by Team Leader.
  • Responding to enquiries - Ensure that all enquiries and e-mails are responded to in a timely and professional manner.
  • Answering referred work from India colleagues - Ensure that all responses given for referred work are clear, unambiguous and answered in good time using the referral template.
  • Compliance samples, projects and procedures - Ensure that any work delegated by Team Leader and/or Line Manager is completed to deadlines set.
  • Training and Development - Take responsibility for own development and provide manager with details of any training required. Ensure that annual regulatory training is completed.
  • IOC Exams - Commence study towards the IOC Introduction to Securities and Investment qualification (Note: This is optional and at the discretion of the individual and their line manager. The qualification is however a pre-requisite for more senior roles within the ACE scheme)
  • Active Operational Management - Ensure that your time is logged correctly on RTM.
  • Completion of Operational Checklist Portal - Ensure that OCP checklists for allocated Management Companies are completed accurately and on-time, if late a reason is provided.
  • Assisting other area - Ensure that Team Leader is aware if own allocated work is light so additional work can be provided. Be willing to assist in other areas / teams as required

Ideal Candidate

  • Good keyboard skills to include awareness of MS Office packages
  • Good Verbal reasoning and numeric skills.
  • Ability to analyse and appraise work, to identify potential areas of concern that could lead to risk
  • Relevant experience within the financial industry
NANorth America
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EMEAEurope, The Middle East & Africa
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