Regulatory Control Support - Financial Crime Investigator

Deutsche Bank
10 Oct 2017
23 Oct 2017
Contract Type
Full Time

Job title: Regulatory Control Support - Financial Crime Investigator
Corporate title: Associate
Division: Regulation, Compliance and Anti-Financial Crime
Location: Birmingham


You'll be joining the Anti-Money Laundering (AML) / Counter Terrorist Financing (CTF) Financial Investigations team which ensures that the systems it is tasked with monitoring are, at all times, being used in accordance with the United Kingdom and European Union legal and regulatory Anti-Money Laundering framework and escalates issues of concern to AML Management in a timely manner.

Your main focus is to investigate Transaction Monitoring (TM) Alerts, conducting triage and case creation for hand off to the Case Investigations team in accordance with the relevant Investigation Guidelines. You should at all times ensure that the investigation is completed with the quality and thoroughness expected. The reporting of Suspicious Activity Reports (SAR) to the Regulator are to be done with quality and be inclusive of any and all suspicious activity noted. You'll be or become a subject matter expert on Swift/Trade data and Actimize.

Key Responsibilities:

  • Reviewing and analysing Transaction Monitoring alerts and internal referrals before these issues have a negative impact on the bank's financial position, reputation or become a regulatory issue, ensuring the risk coverage for the bank from an AML / CTF perspective
  • Ensuring that for alerts / referrals that require case investigation, a high quality comprehensive case is created for hand off to the Case Investigation teams
  • Maintaining robust records of Alert Investigations in anticipation of regulatory / audit level reviews
  • Providing Case Investigation support to the wider Financial Crime Investigations (FCI) unit
  • Investigating cases and associated transactions, identifying potential areas of Risk (Financial, Reputational and Regulatory) within the transactions and associated client relationship review, utilising knowledge of money laundering, financing of terrorism and related issues, seeking guidance and assistance when required from the Team Manager and other colleagues
  • Performing Internet and external database searches to ensure no adverse information (Relevant Adverse Information) is noted on the client / parties
  • Being accountable to ensure the audit trail is complete for all cases
  • Ensuring all alerts / cases are completed within the mandated timeframe for the filing of SARs
  • Identifying current transaction typologies and keeping abreast of emerging ones and applying said typologies to the working of the cases
  • Providing support and assistance to the AML / CTF Manager with respect to the requirement that the internal systems parameters are reviewed at least annually, escalating data quality and system issues to the AML / CTF Manager

Skills & Qualifications:

  • Strong experience and background as an AML / CTF Investigator, with knowledge of AML / CTF typologies and trends
  • Investigative experience in the triage and creation of cases to include robust rationale for decision making
  • Ability to review alerts and evidential case files using knowledge of legislation
  • Strong analytical skills and attention to detail with an investigative mind-set
  • Ability to demonstrate internet expertise on identifying negative news and has the ability to search and find information
  • Ability to work under pressure and within tight deadlines with no loss of accuracy
  • An understanding of the legal and compliance issues of complex banking organisations
  • Strong verbal and written communication skills
  • The ability to work well within a team
  • Experience in the manipulation and presentation of large volumes of Transactional Data
  • Holds qualifications with the International Compliance Association (ICA)
  • Association of Certified Anti-Money Laundering (ACAMs), or other related AML / CTF certifications (beneficial)

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.

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