job / regulatory (kyc) and quality assurance senior manager 5165

Regulatory (KYC) & Quality Assurance - Senior Manager - Glasgow

Salary (DOE) + Benefits - Financial Services - Audit & Risk
Ref: 5165 Date Posted: Thursday 19 Nov 2020
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Regulatory (KYC) & Quality Assurance - Senior Manager
Salary (DOE) + Benefits

Lusona Consultancy are working with a multinational Professional Services Firm to source an experienced Senior Manager to contribute to its’ growth in the field of Regulatory (KYC) and Quality Assurance. To be successful, you must have project management experience (remediations) within a Financial Services Environment and have previous in-depth knowledge of KYC/AML/CDD.

You will be providing direct support to the Head of UK Operations and will be responsible for the following 3 main areas:
1. Overseeing and leading several SME Leads on ‘existing’ engagements
2. Overseeing and leading of SMEs on ‘new’ engagements
3. Business development and building client confidence (winning new work for the business)

Key Responsibilities:

  • For ‘New’ Engagements – ensuring they are established effectively, resourced with sufficiently trained staff to be able to run in accordance with the agreed standards
  • For ‘Existing’ Engagements
    - Conducting SME & quality reviews (both on the client side & internally)
    - Acting as first point of escalation for client relationship activities e.g. providing input, preparation & support to contractual Service Reviews
    - Maintaining of Service Levels in operations owned, complying with statutory regulations and legislation, whilst prioritising a high level of customer service
    -  Ensuring appropriate risk controls are in place to minimize the potential risk to the company from money laundering and fraud
    - Reporting issues of concern to Operations Support, Senior Leadership and in some cases the client
    - Helping achieve higher levels of efficiency, effectiveness and productivity via improvements to processes
    - Maintaining control over agreed budgets
    - Working together with other oversight managers to share best practices and embed consistent ways of working


Essential Requirements:

  • Proven senior experience in operations and at management level within Financial Services
  • In depth KYC/AML/CDD knowledge and experience
  • Be able to embed your technical knowledge in an operational environment, specifically to a non-SME audience
  • Remediation experience through a Managed Services/outsourced services environment
  • Soft Skills - Communication, leadership and strong people management skills to deliver quality output in an operational environment


  • Full working knowledge of regulatory landscape – anti-money laundering measures, as well as other relevant legislation, procedures and processes.

You will have experience of all the above for ongoing engagements, as well as setting up a team for the discovery and mobilisation stages of newly won engagements. You will also contribute to client pitches focused on Quality Framework or presenting your Managed Services offerings combining operational and regulatory compliance factors.

For more information please contact Eva O'Connor on 07534 967 417 or