Anti Money Laundering Compliance Officer
The ideal candidate will be responsible for implementing/amending policies, procedures and internal controls designed to achieve compliance with Anti-Money Laundering rules and regulations.
Responsibilities:
• Investigating and responding to various types of AML focused regulatory inquiries, and, actively participating in regulatory examinations.
• Coordinating AML surveillance results and inquiries with appropriate business line management and team members.
• Responsible for assisting with identifying and reporting potential money laundering activity as required by Anti-Money Laundering rules.
• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
• Assess product, compliance, or operational risks and develop risk management strategies.
• Prepare and implement AML training programs as needed.
• Conduct or direct the internal investigation of AML compliance issues.
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
• Disseminate written policies and procedures related to AML compliance activities.
• File appropriate AML compliance reports with regulatory agencies.
• Identify compliance issues that require follow-up or investigation.
• Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
• Provide assistance to internal or external auditors in compliance reviews.
• Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
• Discuss emerging compliance issues with management or employees.
• Consult with corporate attorneys as necessary to address difficult legal compliance issues.
• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
• Advise technical professionals on the development or use of environmental compliance or reporting tools.
POSITION QUALIFICATIONS
• Ability to communicate in writing clearly and concisely.
• Ability to communicate effectively with others using the spoken word.
• Ability to make critical decisions while following company procedures.
• Ability to be truthful and be seen as credible in the workplace.
• Ability to get along well with a variety of personalities and individuals.
• Working knowledge of U.S. PATRIOT Act, BSA, SEC and FINRA rules and regulations.
Education: Bachelor's Degree required
Experience: Five years related experience.
Licenses: Series 7 and 24 required, Series 53 preferred.
To apply please submit your resume to Jack Kelly –Jkelly@ComplianceSearch.com
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