Director of Financial Crime and Audit Oversight & Governance, Insight and Reporting
Director of Financial Crime and Audit Oversight & Governance, Insight and Reporting
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Job Description
Location: Frankfurt am Main or Munich
Role Summary
As a key leader in FNZ the Director of Financial Crime and Audit Oversight & Governance Insight and Reporting will drive improvements in adherence to audits and actions support oversight of all Financial Crime Risks and improve the standard of all related governance reporting. This role is critical in maintaining trust with customers partners and regulators in a fast-paced tech-driven financial services environment.
Key Responsibilities
1. Financial Crime Oversight
Reduce potential AML / fraud activities occurring
Conduct oversight ML comfort letters and AML/DD Questionnaire requests received from Fund Managers and clients
Support oversight of Financial Crime risks including ensuring the RCSAs are up to date
Support Project teams Business Readiness and Operational areas in relation to AML administration for new clients
2. Audit Oversight
Increase quality and pace of audit responses over time
Using the approved Internal audit plan ensure the business are proactively addressing challenges and risks ahead of the fieldwork starting Trust and Verify
Ensuring audits run to agreed timelines
Management of Audit action plans to ensure they are delivered on time.
Commercially aware and governance focussed driving our internal teams to meet Audit commitments
3. Governance Reporting
Escalation process owner for our internal executives and senior leaders
Reporting which clearly communicates latest performance to key stakeholders (covering material breaches out of tolerance risks audit concerns and reg issues)
Support for governance papers (incl. KRM reporting for GERC/GBRCC)
TxOD Risk Governance (including Non-Financial Risks).
Provision of training support to TXoD across the areas covered by Business Control and Continuity
Key Skills & Competencies
- Deep understanding of financial crime risks in digital finance
- Strong grasp of fintech regulatory frameworks
- Excellent communication and stakeholder engagement skills especially with tech product delivery and operations teams.
- Strategic thinker with a hands-on approach
Qualifications & Experience
- Bachelors or Masters degree
- 10 years of experience in financial crime compliance audit or governance with at least 3 years in a fintech or digital-first environment.
- Proven leadership in scaling compliance and control functions in high-growth companies.
About FNZ
FNZ is committed to opening up wealth so that everyone everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry but complexity holds firms back.
We created wealths growth platform to help. We provide a global end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12000 wealth managers with US$1.7 trillion in assets under administration (AUA).
Together with our customers we help over 26 million people from all wealth segments to invest in their future.
Required Experience:
Director
Employment Type
Full-Time
