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

June 7, 2013 • Tags: , • Posted in: Financial

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