Avp Financial Crime Investigations

Responding to enquiries from the business in a timely manner.

• Analysing documentation, automated alerts, transactional data and conducting open-

source research/screening. Identifying instances of fraud, trade-based and other forms of
money laundering, PEP's, Anti-Bribery/Corruption, Counter Terrorist Financing, and
potential sanctions matters.

• Providing advice and guidance to EMEA front office departments to mitigate Financial

Crime risk associated with regards to current customers and proposed trades/transactions,
supplier engagements and corporate hospitality.

• Provide support to, and conduct own investigations, including research in relation to

internal staff investigations, money laundering, fraud, bribery & corruption, and other
Financial Crime which impacts the Bank across the EMEA region.

• Detailing and summarising complex financial evidence into reports and statements tailored

to target audiences.

• Produce and provide analysis of the various reports from other Compliance areas, both

qualitative and quantitative, of customers under active investigation.

• Identify developing themes, assist in building control frameworks which proactively prevent

or detect Financial Crime. Keep fully apprised of proposed changes to legislation, directives,
and guidance, and ensure that key points are communicated to the Head of EMEA FCC
and the Deputy head of FCC.

• Collate MI and draft reports in preparation for internal committees.

• Draft Suspicious Activity Reports (SARs) for submission to the MLRO/NCA.

• To provide support to Head of EMEA FCC, Deputy Head of FCC, MLRO, RCCO, and

General Counsel on an ad hoc basis in relation to Special Case work projects for the
EMEA region.

• In conjunction with CPD Training

Understanding and practical ability to apply the management of Financial Crime risks withinthe UK Banking environment.

• Inquisitive, motivated, and highly trustworthy with an ability to work with the minimum of direct supervision, experienced in dealing with highly confidential material.

• Ability to independently conduct complicated investigations assessing and verifying multiple strands of data and documentation.

• Ability to acknowledge that there is often a need to be a member of more than one team. Tactful, diplomatic, customer focused individual.

• Strong written and verbal communicator, able to articulate and prepare detailed rationale.

• Good understanding of the products and services offered by SMBC BI.

• Strong understanding AML / Fraud Transaction Monitoring Systems.

· Ability to act as Financial Crime SME on behalf of CPD-FCC. · Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006 (and relevant changes). Police and Criminal Evidence Act, Disclosure rules and employment tribunals.
· Knowledge of the wider Financial Crime landscape - UK and global. · Well organised with excellent ability to prioritise conflicting work whilst retaining an excellent attention to detail.