Financial Crime SME – Investment Compliance (Line 1)

Financial Crime SME – Investment Compliance (Line 1)

6-Month Contract | Investment Management | Hybrid

We are seeking an experienced Financial Crime SME to support a major investment management organisation in strengthening its Line 1 Financial Crime control framework across direct investments, investment counterparties and External Fund Managers (EFMs).

This is a hands‑on role requiring deep expertise in AML, CTF, sanctions, KYC/KYB, PEP screening, adverse media checks and enhanced due diligence, coupled with the ability to translate regulatory requirements into practical, sustainable controls and operating models.

Key Responsibilities

• Assess Financial Crime risks and identify control gaps across investment activities.




• Enhance KYC/KYB, sanctions screening, PEP and Enhanced Due Diligence frameworks.




• Develop and implement a risk‑based oversight framework for External Fund Managers.




• Design and embed practical operating models, governance structures, RACIs and escalation procedures.




• Establish robust approaches for identifying and managing higher‑risk investments, counterparties and delegated investment arrangements.




• Improve Financial Crime MI, reporting and governance processes.




• Support remediation activity and provide review‑ready evidence to close findings and recommendations.




• Translate AML, sanctions and Financial Crime requirements into effective investment‑specific controls.

Required Experience

• Strong Financial Crime expertise covering AML, CTF, sanctions, KYC/KYB, PEPs, adverse media and EDD.




• Experience within Asset Management, Investment Management, Wealth Management or Institutional Investments.




• Knowledge of Financial Crime risks relating to public and private markets, investment counterparties and outsourced investment arrangements.




• Proven track record assessing and challenging External Fund Manager control environments.




• Experience designing risk‑based due diligence and high‑risk assessment frameworks.




• Strong risk and controls background with remediation and governance experience.




• Ability to engage and influence stakeholders across the three lines of defence.




• Experience embedding operational processes and transitioning controls into BAU environments.




• Validate and prioritise Financial Crime remediation activities.




• Strengthen Line 1 Financial Crime controls and oversight.




• Define and implement a target operating model with clear ownership and accountability.




• Enhance MI, governance and sanctions reporting capabilities.




• Deliver sustainable BAU processes, procedures and controls.

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