Job Description

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes. The Financial Crime Compliance Advisory role for Brown Shipley is a key role in the compliance team responsible for ensuring that operations in BSCo are effective in identifying, managing and mitigating Financial Crime risks and ensure timely advice is provided to the business and that policies and procedures, risks and control framework of the first line are continuously reviewed and advise the business where and when required on mitigating actions to maintain a robust and stringent compliance risk management within the Group risk appetite.

Key Accountabilities

• Articulate Financial Crime risks for Brown Shipley in line with Group Policies & any local regulatory requirements not covered within Group Policy (documented through country addendum).
• Primarily to support FCC Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. With primary focus on Brown Shipley Co Ltd
• Act as quality reviewer/approver of high risk clients files for the business
• Provide advisory services to Brown Shipley business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
• Support second line governance covering Financial Crime risks exposures, providing analysis, reporting and governance to Brown Shipley Co Ltd and Group governance committees that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure
• Assist the business and Head of FCC Advisory lead and MLRO of Brown Shipley, and other colleagues on all FCC related matters.
• Assist the Head of FCC Advisory lead and MLRO of Brown Shipley Co Ltd, in deploying strategic functional objectives and delivering critical services to the Group & country in an effective and-efficient manner.

Knowledge and Experience

Experience as a compliance manager across all areas of FCC risks within a global firm, in the financial services industry
Detailed and extensive knowledge of the financial institution structure (Private Banking specific experience is a plus)
Ability to develop practical and optimised solutions to complex issues

Attributes and Qualities

Experience as a compliance manager across all areas of FCC risks within a global firm, in the financial services industry
Detailed and extensive knowledge of the financial institution structure (Private Banking specific experience is a plus)
Ability to develop practical and optimised solutions to complex issues

Technical Skills

Familiarity with Policy and procedures impact analysis and deployment
ICA ML/FCC qualifications preferred
A graduate in any discipline with exposure in a relevant risk or audit profile
Experience in establishing and maintaining risk and controls framework for AML/CTF, Sanctions, ABC, Fraud, tax evasion and preventing the facilitation of tax evasion risks;

Languages Skills

Proficient in English required, verbal and written, Any additional European languages are a plus