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Assists in the overall design and implementation of the AML Compliance Program to ensure that it reflects US regulatory requirements.
Assists in the development and enhancement of existing BSA/AML and OFAC policies and procedures as well as the PEPs/Sanction Regimes policies.
Communicates all regulatory changes in the AML/Financial crime area and advises the business on AML policies/procedures.
Conducts investigations of clients or potential clients to detect possible violations of the Bank Secrecy Act (BSA), including all relevant sections of the USA PATRIOT Act, and determines if a Suspicious Activity Report is required. Prepares SARs as needed.
Assists in the development and implementation of monitoring and surveillance reports.
Performs periodic AML related testing and assists with setting monitoring parameters.
Manages all AML aspects of responses to internal and external examiners.
Leads AML Training to employees at the firm.
Advises on client on-boarding files prior to account opening to ensure appropriate KYC documentation has been obtained and adequate due diligence has been conducted.
Coordinates the annual independent AML audit.
REQUIRED KNOWLEDGE AND EXPERIENCE
§ Bachelor's degree from an accredited college/university preferably in accounting, finance, economics or related discipline.
§ A minimum of 7-10 years of compliance experience with 5 years of experience in AML compliance, within the financial services industry (within a broker dealer and/or a future commission merchant).
A strong knowledge of U.S. AML laws and regulations including the USA PATRIOT Act, Bank Secrecy Act and OFAC sanctions program.
Experience with and exposure to internal control functions and regulators within the US, and in particular banking/securities AML regulators.
Series 7 preferred.
§ Strong organizational and effective communication skills, including presentations and public speaking.
Must be highly flexible, multi-task oriented and capable of changing directions based on business demands.
Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner.