Financial Crime Investigations - Quality Control Team Lead

Are you an experienced Team Leader with a background in the Financial Crime area and looking for your next career opportunity ?

As part of the FinCrime Operations function, the Financial Crime Operations Investigations (FCOI) QC team is primarily responsible for performing end to end quality reviews of Financial Crime Investigations, to ensure compliance with firmwide and local regulatory standards for Suspicious Activity Reporting (SAR).

Job Summary

Reporting to the QC Divisional Lead, you will support the build-out of the FCOI function and manage the day-to-day operations of the quality review processes. You will oversee a team of QC Associates responsible for the timely review of the SAR reporting process and partner with the QC Associates to remediate any findings. This will include you working with key stakeholders in Compliance, engaging with the wider FinCrime function and Global Financial Crime Compliance to ensure policy adherence.

Job Responsibilities:

• Manage QC pipeline of incoming cases, ensuring prioritization and timely execution with a direct oversight of the FCOI Quality Control process, ensuring all cases are reviewed, calibration with QC team and remediation complete.
• Maintain a globally agreed quality pass rate for records sampled by the Quality Assurance Team (QA), engage with QA to review, disposition and remediate any findings.
• Assist with change management for integration of FCOI policy, procedures and training material updates for the FCOI division.
• Collaborate with management for new starter training plans and ongoing knowledge sharing to the FCOI division, driven by root cause error analysis and promoting best practice
• Provide direct supervision and guidance that can be adaptable to both new hires and experienced QC Associates as needs are identified and responses on areas identified by Audit and Regulator reviews in line with requirements stipulated by the Controls Team.
• Manage performance of QC Associates, provide clear performance targets, conduct performance reviews and develop clear career and personal development trends and partner with Senior Management to ensure metrics are in line with business requirements, monitor metrics reporting, highlight concerns, propose resolution and track progress
• Develop strong partnerships with key stakeholders, proactively build and maintain relationships across the firm and identify and execute process improvements and provide Subject Matter Expert support on key process and technology initiatives.

Required qualifications, capabilities, and skills:

• Experience in any of the following areas or similar: AML / Financial Crime / Compliance / Audit / Regulation / Risk & Controls.
• Experience in pipeline management with ability to prioritize work, create plans, and manage book of work to meet deadlines.
• Excellent analytical and research skills, detail oriented, with the ability to deep-dive and investigate issues to reach a successful resolution to applicable parties.
• Strong time management skills, self-directing and capable of dealing with high pressure, time sensitive tasks.
• Quality-focused work ethic with a strong controls mind-set.
• Able to demonstrate flexibility and operate in a changeable environment.
• Leadership experience including performance management and coaching.

Preferred qualifications, capabilities, and skills:

• Knowledge of Retail Products / Client Types.
• Previous experience supporting a Financial Crime / fraud investigations team, either through Subject Matter expertise or Workflow Management.
• Strong verbal and written communication skills with ability to influence others.
• Financial crime qualification or certification.

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