VP, Retail Brokerage AML Compliance
This position supports the Retail Brokerage / Wealth Management business, the individual will be responsible for AML Sign-Off Approval, Advisory Services, collaborating with senior management team to implement AML policies and procedures.
This position has the authority to make customer risk decisions of significant complexity. Tha major challenges of the role is to ensure the business understand the AML/OFAC risks involved in on-boarding certain client types and to embed a culture of AML Compliance into the daily activities of the business.
The ideal candidate will have minimum of 10 years of proven AML Compliance in a large Retail Brokerage firm with proven ability to accomplish high level objectives of AML Compliance plans.
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