Head of AFC Advisory & Operations (14 Month Fixed Term Contract)

The Group Anti-Financial Crime

• (AFC) department is based in our Second Line of Defence area with accountability for our AFC policies and related framework across Baillie Gifford.
Our aim is to provide proportionate and pragmatic approaches through our systems and controls to mitigate FC risks whilst ensuring compliance to our regulatory and legal obligations across the globe.
• Anti-Money Laundering, Countering Terrorist Financing, Sanctions, Anti-Bribery & Corruption, and Anti-Modern Slavery.
Purpose of Role While working at Baillie Gifford you will provide advice and support to the firm in relation to our delivery of Anti-Money Laundering (AML), Countering Terrorist Financing (CTF), Sanctions & Embargoes, Anti-Bribery & Corruption (AB&C), and Anti-Modern Slavery (AMS) related activities. Within this role you will split across two core teams (advisory and operations) within our AFC function. You will take ownership of, and help ensure the appropriate design, implementation and embedding of operational processes and controls within their responsible area as aligned with the AFC framework. This is a varied role and will range from advisory responsibilities, operations, regulatory and team management. This position has been deemed a Certified role within the FCA's Senior Manager and Certification Regime given the Nominated Officer responsibilities. As a result your details will be displayed on the FCA register and both initial and annual fitness and propriety assessments must be completed.Responsibilities 1) To understand the AFC policies/handbooks/manuals, 2) To respond within SLA on escalated queries from across the framework (including new agreements) ensuring advice is both proportionate and pragmatic, 4) To implement changes as a result of policy updates across the framework including system rules and workflow, 5) To maintain firm wide wording on the AFC framework and standard responses for external parties, 6) To represent the department on strategic change initiatives which may impact the risk profile of the firm relating to financial crime, 7) Under formal delegation from the Group MLRO, conduct final approval of the AFC risk assessment and resultant due diligence to support on-boarding or periodic review of: a) All relationships deemed medium risk, b) All relationships deemed high risk at periodic review (where the risk assessment has not changed), and c) All associated PEP relationships deemed low/medium risk 8) Escalate the following relationships for approval to the Group Head of AFC/Group/local MLRO: a) All new relationships deemed high risk, b) All associated PEP relationships deemed high risk, and c) All PEP relationships (whether deemed low, medium, or high risk) 9) Conduct investigations into suspicious activity, decide whether a disclosure under the Proceeds of Crime Act/Terrorism Act or a Defence Against Money Laundering (DAML) under the Proceeds of Crime Act is required, and complete such an external report, and 10) Lead and develop a team of AFC Subject Matter Experts (through being a Subject Matter Expert yourself) to establish an effective and credible team The role holder will be the Nominated Officer for Baillie Gifford & Co, Baillie Gifford & Co Ltd, Baillie Gifford Overseas Ltd, and Mitsubishi UFJ Baillie Gifford Asset Management Ltd. As such, the role holder will fulfil legal obligations under Part 3 of the Terrorism Act 2000 and Part 7 of the Proceeds of Crime Act 2002.


• Experience of working in the investment management/financial services sector,
• Experience of working in Operations/Nominated Offices,
• Strong relationship and stakeholder management experience,
• Able to positively contribute to the culture and environment of the team by (in)directly motivating employees and fostering relationships that engender a sense of shared objectives and accountability, and
• Broad experience and detailed knowledge of working in an AFC function, specifically AFC rules and regulations across the UK and multiple jurisdictions.
Qualifications
• Relevant AFC qualification (e.g. ICA or ACAMS)
The Type of Candidate we're looking for: The successful candidate will be an excellent communicator, with the ability to foster and maintain exceptional stakeholder management and relationship. In addition the ideal candidate should also demonstrate strong people management skills, organisation, prioritisation and attention to detail, while having the ability to apply problem solving to complex situations. They will be hard working with an aptitude and willingness to multi-task and contribute expertise across multiple tasks at any given time, embrace challenges, and enjoy the fast paced and exciting environment of working in Anti-Financial Crime. Critical Skills
• Adaptability
• Enabling Others
• Improvement Mindset
• Nurture Relationships
• Systems Thinking
  
  At Baillie Gifford we are committed to fostering an inclusive and respectful culture in which each of our colleagues can thrive and develop. We believe that our clients are best served by a diverse workforce with the experiences, ideas and perspectives that this brings.