Senior Manager - Corporate Due Diligence

Job Post London

Jobs Finance

Role Purpose

To facilitate the management of Corporate Due Diligence “CDD” on new and existing clients, ensuring the identification and collation of all relevant information in order that the business can correctly assess the extent of risk it is exposed to.

This role will have responsibility for all of the technical processes and will be the main conduit between the offshore team in Poland and the Relationship Management and Business Development teams in the U.K.

The Senior Manager will need to ensure that the business complies with the requirements of relevant legislation and regulation.

Accountability’s and Responsibilities

  • Ensure compliance to any emerging legislation as may be appropriate to varied jurisdictions.
  • Ensuring the business outputs are monitored and that money laundering policies, financial crime, sanctions and terrorist financing policies and procedures are being complied with;
  • To possess a thorough, up to date understanding of the relevant rules and regulations (including FCA and HMRC) and all applicable statutes affecting our business in respect of financial crime, meeting defined individual/team performance and quality targets to ensure delivery of key business objectives;
  • Ensure there are robust processes, policies and procedures in place to adhere to the relevant sanctions regimes, including HMT and OFAC, and that your team adhere to this accordingly.
  • To remain up to date with all financial crime related regulatory developments and assess the implications for our businesses and where appropriate communicate, recommend and implement changes, working with Senior Management to ensure that the business is advised of any AML, Financial Crime and other regulatory developments that might have an impact;
  • To audit and have oversight of all of the CDD procedures and output documents, these must be completed and feedback given to the offshore manager of the team;
  • To act as the focal point of expertise for the business on CDD liaising between the internal and external clients whilst overseeing the CDD team in the Krakow business centre to support the UK service lines;
  • To review our existing AML arrangements and improve all risk mitigants to ensure that policies and procedures are appropriately risk based;
  • To give input to and support as required to the ongoing compliance monitoring programme;
  • To provide coaching and guidance to other team members ensuring that work is delivered to plan as well as ensuring that team members are developed and supported;
  • To undertake ad-hoc project work and/or become the Subject Matter Expert as periodically advised by the business;
  • Assist the business/compliance function in preparing for FCA and other external visits.
  • Lead process improvements
  • Ensure that key controls are in place within the department
  • Mange staff from a task and pastoral perspective.
  • Lead the team in terms of change for implementation of Prism.
  • Ensure that the team is fully resourced and appropriately skilled.
  • Produce robust, adequate and appropriate MI to senior management
  • Participate in department and business strategy where appropriate.
  • Mitigate any risks that arise from change of processes or new business
  • Confirm that the BCP and DR arrangements for your span of control are kept up to date

Whilst this is a reflection of the role it is not exhaustive and employees will be expected to be flexible and take on activities outside of those listed from time to time.


  • Minimum 3 years’ experience in a CDD environment, ideally within a FCA or HMRC regulatory framework or equivalent
  • Demonstrate experience in managing a team
  • Have 3 – 5 years of experience in people management
  • Investment Operations Certificate (‘IOC’), Combating Financial Crime can also be combined with a regulatory exam to achieve the CISI Level 3 Certificate in Global Finance Compliance
  • High level of accuracy and attention to detail, with sound analytical, research and investigation skills
  • Have 3 – 5 years of experience in people management
  • Are customer centric with Can Do approach
  • Are able to shape process
  • Are able to cope with ambiguity & change and maintain high level of professionalism when working under pressure
  • Are flexible around the needs of the business as expected for a management level position
  • Are able to work independently and make decisions as required
  • Demonstrate strength as a coach and developer of direct report staff
  • Are a self-starter and are able to work independently
  • Are a High Achiever – exceeding results and targets
  • Have proven ability to lead a team and the capacity to coach and motivate, showing own initiative in problem analysis and their solution.


  • Leadership & performance
  • Communication
  • Results focused
  • Innovation, change & continuous improvement
  • Team working
  • Technical awareness
  • Risk and conduct management
  • Commercial awareness
  • Customer service

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Capita Resourcing welcome applications from all suitably qualified people regardless of gender, race, disability, age or sexual orientation.

Capita Resourcing is a trading name of Capita Resourcing Ltd. Services offered are those of an Employment Agency and Employment Business. Applicants will be required to register with us.

ID #4901 Location London Industry Finance Type Full Time Role Senior Manager - Corporate Due Diligence Career Level Senior Presence Remote

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Full Time Salary negotiable /Month

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