Job Description

RBC Brewin Dolphin is one of the UK\'s leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds.

We specialise in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions and aspirations. Our services range from a simple execution only online service to bespoke discretionary investment management including retirement planning.

About this opportunity:

We have an exciting opportunity for an Assistant Director to join our Financial Crime team on a permanent. This role is to support the Head of Financial Crime and the Financial Crime and champion the embedding of a compliance awareness culture throughout the business. Providing guidance and advice to the RBC Brewin Dolphin business on financial crime risks, controls and regulatory environment.

Responsibilities

• To support the activities of the Financial Crime Team and champion the embedding of a compliance awareness culture throughout the business;
• Provide guidance and advice to the RBC Brewin Dolphin business on financial crime risks, controls and regulatory environment.
• Support the Head of Financial Crime* in:

• Oversight of the internal and external suspicious activity reporting process;
• The investigation of financial crime and applicable whistleblowing events;
• Ensuring mandatory induction and refresher training, education & awareness is available to relevant staff in RBC Brewin Dolphin;
• To ensure applicability of RBC Enterprise Financial Crime Policies to the RBC Brewin Dolphin business;
• The completion of financial crime risk assessments for the RBC Brewin Dolphin business, and to support RBC Enterprise .

*Financial Crime includes Money Laundering (including terrorist and proliferation finance), sanctions, bribery & corruption, and tax evasion.

• Policy owner for RBCBD\'s suite of financial crime policies:

• AML, CTF, PF
• Sanctions
• Anti-bribery & Corruption
• Prevention of Tax Evasion
• Support the Nominated Officer for the purposes of Suspicious Activity Reports (SARs) and Suspicious Transaction and Order Reports (STORs), documenting rationale for decisions.
• Maintain awareness of legislation, regulations, industry guidance regarding financial crime;
• Ongoing review, update and implementation of Group suspicious activity reporting process and procedures;
• Support financial and whistleblowing investigations when required;
• Maintain professional relationships and liaise with various external bodies and regulators when necessary (such as Financial Conduct Authority, Information Commissioner\'s Office, National Crime Agency, Action Fraud, police forces, industry bodies;
• Respond to formal requests for information from regulators and law enforcement agencies, and reply within regulatory deadlines or other specified times if different;
• Attend relevant Committees
• Support the MLRO to assess reviews of High Risk Clients, providing decision making with documented reasons for decisions;
• Represent the function on Group projects, providing relevant guidance and support.
• You agree to comply with any reasonable instructions or regulations issued by the Company from time to time including those set out in the terms of the dealing and other manuals, including staff handbooks and all other group policies

Skills/Qualifications:

• Educated to degree level, or equivalent experience
• Appropriate qualification such as diploma in Compliance & Regulation, Financial Crime, Money Laundering, Chartered Institute of Securities & Investment
• Good working knowledge and experience of the company\'s systems, processes and controls

• Minimum of 10 years\' experience within the financial services industry
• Experience in a managerial role
• Ability to communicate with people at all levels internally and externally
• Professional individual with leadership ability
• Good presentation and report writing skills

• Good knowledge and understanding of the legal and regulatory requirements relating to financial crime, for example, Proceeds of Crime Act, Money Laundering Regulations, Market Abuse, Bribery Act
• Ability to work under pressure and meet deadlines in an organised and efficient manner

About you

We are looking for people with not only the right skills, but those who demonstrate our values in how they approach their work and colleagues

Genuine - Shows empathy and understanding for the needs of clients and colleagues. Team worker demonstrating trust, respect and integrity.

Expert - Applies skills and knowledge to achieve objectives and makes the complex simple. Brings together the right people and grows expertise to get the best results for clients. Seeks continuous improvement.

Ambitious - Works hard to be at their best. Embraces change for the better. Strives to do the best for clients and colleagues

RBC Brewin Dolphin is proud to be an equal opportunity employer. We are committed to recruiting and developing a diverse workforce, inclusive of race, religion, age, gender, sexual orientation and disability. If you have particular requirements in relation to accessibility or mobility during the recruitment process, please let us know and we will do our best to make suitable adjustments.

To apply for this role, please click the \xe2\x80\x9cApply\xe2\x80\x9d button below. The closing date for applications is 24/09/2023. Some of our vacancies receive high numbers of applications and we may decide to close this sooner, so we would encourage you to apply as early as possible.

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Brewin Dolphin