Compliance Manager AML & Sanctions 12 month Fixed Term Contract

The Compliance Manager supports the EUI Compliance function in the design implementation and maintenance of a risk-based compliance framework. The role provides independent second line oversight guidance and challenge to the business in relation to compliance risks.

The role also acts as the Senior Manager responsible for Data and Personal Data supporting the EUI Data Protection Officer (DPO).

Key Responsibilities

Compliance Oversight and Advisory

• Provide advice guidance and objective challenge to the business/ 1^st Line on the management of financial crime (mainly AML/CTF/CPF) and Sanctions risks.
• Reviewchallengeand provide 2^nd Line oversight of high-risk client onboarding and periodic reviewssubmittedby the1^st Line.
• Provide 2^nd Line analysis and expert assessment of complex sanctions cases including interpretation and application of UK EU and US sanctions regimes and recommendations on theappropriate courseof action.
• Undertake compliance monitoring activities in line with the EUI Compliance Plan.
• Collaborate with senior managers overseeing AML CTF CPF sanctions and fraud risks.
• Ensure the EUI AML and Sanctions Compliance framework is robust effective and appropriately embedded across the organisation.
• Supportpolicy procedures and process updates for new regulations and help enhance control frameworks as needed.
• Produce management information and reporting on the effectiveness of EUIs compliance risk management.
• Oversee projects to ensure alignment with EUI AML and Sanctions policies and procedures while reinforcing compliance and ethical standards across EUI.

Committees and Governance

• Attend EUI committees and forums providing independent2^nd Line Compliance oversight and challenge to 1^st Line activities and committee papers.
• Prepare committee papers and updates where necessary.

Business Partnership

• Act as a trusted advisor to the business while maintaining independent 2^nd Line oversight.
• Provide compliance review and challenge of 1^st Line activities and committee papers.
• Maintain effective working relationships across the three lines of defence to support a strong internal control environment and clear risk ownership.

Policies Procedures and Training

• Review and provide feedback on policies procedures frameworks and systems relating to compliance risk management and reporting.
• Draft compliance policies and procedures where required.
• Prepare and deliver compliance training and maintain training records.

Group and Regulatory Engagement

• Support effective liaison with the ESA Conduct & Ethics Division and other Group Compliance teams.

Skills Experience and Competencies

Experience and Knowledge

• Relevant experience in compliance 2^nd Line risk oversight or regulatory advisory roles ideally within a financial market infrastructure large financial services firm or regulatory authority.
• Detailed knowledge of Bank of England PRA and FCA requirements.
• Extensive technical knowledge of Financial Crime regulatory requirementsincluding:
  • UKEUand US sanctions regimes
  • UK Money Laundering Regulations
  • Proceeds of Crime Act (POCA)
• AML/CTF/CPF regulatory frameworksRegulatory and Stakeholder Engagement
• Ability to engage credibly with senior internal and external stakeholders.

Personal Attributes

• Demonstrates independence of judgement credibility and the ability to influence including in challenging situations.
• Ability to work proactively and strategically in a changing regulatory environment.
• Strong communication influencing and presentation skills.
• Ability to manage competing priorities and meet tight deadlines.
• Attention to detail and ability to support change across Compliance and the wider organisation.