Financial Crime
Il y a 2 mois
FCC Retail Compliance Officer
Role & work environment
Financial Crime Compliance Retail Luxembourg (FCC Retail) team within the compliance department is the second line of defence function supporting the retail segment in Luxembourg for the purpose of managing Financial Crime Compliance (FCC) risks.
The team of Retail Banking FCC specialists (advisors) is dedicated to support the retail business in complying with FCC policies and regulations in line with the Compliance Risk Management Charter by performing horizon scans, maintaining the policy framework, supporting & challenging risk assessments, delivering advices, assuring training & awareness, tracking issues and escalating where and when needed. At the same time it looks for global alignment and uniformity in approach in order to contribute to efficient KYC-processes and a flawless client experience. The team is working together based on knowledge and expertise, as well as the skill set needed to best perform the job.
You report hierarchically to the Head of the FCC Retail Team, who reports to the Head of Financial Crime Compliance.
Key responsibilities
The position is a key channel for advice, training, translating (external) developments to the retail banking environment as well as communicating and sharing of best practices. As an expert in the FCC domain your main focus lies on Anti-Money Laundering (AML), Economic and Financial Sanctions including Export Controls and Proliferation Financing which translates to the following (non-exhaustive) overview of activities, which you will execute autonomously (less complex activities) or with support of senior team members:
Point of escalation and coordination for Retail Luxembourg, specifically:
Analysis, challenging and advice on customer due diligence escalations triggered by:
- new client Onboarding;
- client reviews (periodic, event driven) including transaction analysis;
- Offboarding;
- Waivers.
Analysis, decisioning and follow through on FCC alert escalations triggered by:
- Pre transactions screening;
- Name screening (PEP);
- Negative News Screening.
Advice on flagged corporate lending and trade finance transactions.
Contribute to and carry out activities required for the execution of the FCC risk management cycle:
- Supporting the business, FCC Luxembourg and Corporate FCC function in maintaining the retail FCC control framework by translating regulations and requirements to practical implementable policies, guidelines, instructions or solutions;
- Advising on risk appetite setting and translation thereof in compliance related processes;
- Overseeing and giving advice (partner) with our Luxembourg and global retail businesses on the embedding of the FCC controls within the retail domain by analysing and formulating advices on the compliance risks of products, processes or projects or delivering support and challenge when needed any risk assessment or mitigation (e.g. participating SIRA);
- Assure in close cooperation with the retail business that all identified FCC risks are correctly registered in I-Risk and follow-up the correct closure of the mitigating actions. Pro-actively inform compliance management on the evolution of the FCC retail compliance risk management.
In close collaboration with colleagues of other compliance teams, promote/enhance the knowledge and awareness with regards to FCC within the organisation and contribute to the drafting and/or implementation of the annual compliance training plan;
Participate in projects, workgroups (generally impacting the team’s activities) by coordinating, providing input, defending his/ her position, challenging the discussions and communicating the output to the members of the team;
Identify key areas for improvement and provide support and guidance to implement good practice;
Drive the implementation of automated process, robotics or data analytics techniques in order to maintain the efficiency of the FCC retail compliance related processes and tools;
Support the head of FCC Retail in providing data and comments required for the drafting of compliance risk management reporting in all its forms;
Align the activities and seek for uniformity in approach of the Retail MLRO/FCC community with the global functions
Give on the job training to colleagues.
Key Competences
A colleague with a talent for taking it on and making it happen, enthusiasm for helping others to be successful and a knack for always being a step ahead. In other words, you strive to bring fresh ideas to life and embrace challenges in a fast changing and complex environment. You are a naturally collaborative person who listens and invests in others to achieve common goals. You love to challenge the status quo and are eager to propose creative solutions to problems.
As a FCC Retail Compliance Risk Analyst you will also need:
- A Bachelor degree in Law, Economics or equivalent in experience;
- Minimum a few years’ work experience;
- A first experience in (Fina
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