Financial Crime Compliance Investigations Lead

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 successful candidate will be part of Group Operations and is responsible for leading the FCC investigations team ensuring that assigned cases including Production Orders and Anomalous Activity Reports are thoroughly and professionally investigated in accordance with the Group Investigations Procedural Standards and, where appropriate, escalated to Compliance for enhanced investigations and if required regulatory filing.
It is the responsibility of the job holder to ensure proper standards and processes are followed in identifying suspicious activities  requiring further escalation. 
The position is equally responsible for performing quality control reviews of completed investigations 

Key Accountabilities

• Manage the efficient operation of the FCC Level 1 & Level 2 investigations activity and the team performing it 
• Ensure proper standards and procedures are followed in escalating cases to compliance 
• Conducting the effective and timely investigation into assigned cases in accordance with agreed standard reporting requirements and service levels. These cases will include:
• Investigating  against Production Orders
• Ensuring that the Case analysis is complete and fully compliant with applicable Group and Country standards.
• Writing a high quality investigative narrative and to record the case history, with supporting work findings, in a digital case file.
• Escalating investigations to Country FCC
• Contribute to the development and enhancement of alert monitoring systems to improve efficiency and effectiveness in detecting potential financial crimes and escalate to Compliance Officers (Group & Country) information about thematic compliance weaknesses or failures identified during the course of investigations
• Perform quality control reviews of: completed transaction monitoring cases performed by the team.
   

Knowledge and Experience

• Money Laundering investigations experience including transaction monitoring;
• Experience in undertaking investigations/analysis into customer activity with the ability to draw inferences from noted behavior, including transactional profile, against expectation established from CDD data;
• Experience in writing reports to identify ML/CTF risk
• Prior regulatory or law enforcement investigations experience advantageous
   

Attributes and Qualities

• Both spoken and written communication skills with the ability to document investigative steps and conclusions effectively, in a clear, concise and professional manner
• Consistently achieve objectives set for them and take action to improve their own performance
• Strong organizational skills
• Managerial experience in a knowledge economy context
• Collaborative working style with colleagues and broader stakeholders within a cross-border and LoB matrix
   

Technical Skills

• Familiarity with transaction monitoring and associated case management systems;
• ACAMS or ICA ML/FCC qualifications preferred
• Experience of identifying activity suggesting ML/CTF, Sanctions, ABC, Fraud risks;
   

Languages Skills

• Proficient in English required 
• French, German or Dutch is a plus