AML & Compliance Controls Team Leader

Role Scope SummaryThis centralised role supports our global regulated entities and involves responsibilities related to the day-to-day operation and management of key aspects of the AML/CTF Program as well as supporting the broader regulatory compliance framework.

The AML responsibilities includes leading a team involved in transaction monitoring, watchlist screening, enhanced due diligence and ongoing due diligence processes.

The compliance controls responsibilities will have you and your team involved in a broad variety of duties, including updating and implementing compliance policies and procedures, compliance training, process and control monitoring, and more.As part of a collaborative and supportive global Compliance & Enterprise Risk team, you will work with other Compliance & Risk professionals to ensure accurate compliance records and reporting, provide administrative support, develop shared initiatives and embed and maintain a compliance focused culture across Pepperstone’s global business.

This is a people leader role where you will be managing and leading a small team of analysts who provide support to Pepperstone’s regulated group entities.

The day-to-day responsibilities include:

• Review and undertake customer KYC processes such as OCDD and ECDD
• Conduct and manage investigations of unusual activity reports
• Assist the group MLROs with conducting risk assessments
• Assist with the implementation of the enhanced AML transaction monitoring program and alerts management processes
• Manage and lead the group AML & Compliance Controls team based in the Philippines.
• Working with the group Compliance team, implement SLAs for the analysts
• Implement a quality assurance program for the analysts
• Act as a key contact for providing subject matter expertise and support for the analysts
• Assist with the preparation of AML reports, client risk reports and compliance control reports
• Assist with UAT and provide post-delivery assurance monitoring of the recent AML uplift program
• Answer and coordinating queries received by commercial stakeholders to resolve AML and compliance-related issues and client complaints
• Conduct compliance control testing activities outlined in the Pepperstone Compliance Management framework
• Assist with assessing incidents, errors and breaches and maintain the relevant registers
• Drive proactive improvements to the business in ways that will reduce risk and raise
• AML and compliance standards while still supporting business growth
• Assist with the development and delivery of compliance training
• Working collaboratively with stakeholders to ensure AML and compliance obligations
  are understood and managed

• Minimum 3 years AML monitoring or compliance control monitoring experience in the financial services industry
• Experience working for or with a fintech or similar online/non face to face business model
• Extensive knowledge of AML regulations
• Strong knowledge of the AML and KYC end to end process
• Experience with ASIC & AUSTRAC or any Tier 1 regulated environments
• Good understanding of financial services regulatory compliance obligations, ideally within the OTC derivatives industry
• An understanding or awareness of compliance management frameworks
• Strong people management skills with proven ability to lead, coach and mentor
• Strong analytical and problem-solving skills
• Strong communication and collaboration skills
• Articulate and able to provide structured, concise, considered, and accurate guidance
• Well-developed documentation and policy writing skills
• Outstanding attention to detail
• Ability to work in a fast-paced and time-critical environment
• Ability to work effectively with teams and stakeholders that are geographically distributed

DESIRABLE

• Knowledge of financial services regulations and AML regulations in multiple jurisdictions
• Regulatory compliance or risk qualifications
• ICA, ACAMS or other AML qualifications

We are HGS Offshore Staffing Solutions, a premier global partner in building offshore teams in the Philippines, with over 1,500 professionals across Metro Manila and Cebu.

Our goal is to ignite global potential by connecting exceptional talent with companies worldwide. We are committed to propelling your career forward by providing opportunities for growth, where your expertise can flourish in any field. Here, you'll have access to global industries, continuous training opportunities, and a culture where your voice always matters.

At HGS, we go beyond recruiting talented individuals, we cultivate a vibrant community. You'll be able to grow alongside your peers through professional development opportunities at your fingertips and connect with teammates during exciting company events. Our monthly huddles keep you connected with your team and colleagues. We also foster a dynamic community with our charity initiatives, reminding us that our careers can make a real difference. Whether you work remotely or side-by-side, you are always part of the team at HGS.