AML Compliance Officer

Full Time

Madison-Davis

EXTERNAL CLIENT ROLE

Overview

The position is responsible for developing, implementing, administering, and maintaining all aspects of the BSA/AML Compliance Program. The position ensures the program functions at a high level of compliance with the BSA/AML related laws and regulations and internal policies.

Responsibilities 

  • Coordinates and executes an effective AML Compliance Program in compliance with current industry best practices, regulatory guidance and requirements
  • Develops and administers the AML transaction monitoring systems to ensure appropriate parameters are in place to identify suspicious transactions and activity
  • Develop an effective AML surveillance reporting program including a program to identify and detect suspicious transactions
  • Administer the AML training program for management and all associates and provide detailed guidance on the AML program as well as related firmwide policies and procedures.
  • Establishes an effective global sanctions monitoring program including OFAC and other relevant jurisdictions
  • Conducts periodic risk assessments with considerations to customers, products, services, members and geographies that may present AML risks
  • Provides strategic direction to the AML team (which could include operational, analytical or risk management components) that monitor and analyze trends, patterns, and external factors impacting firm’s money laundering risk.
  • Manages a team of AML Compliance Analysts
  • Responds to periodic examinations/audits by FINRA, SEC and independent firms
  • Performs other duties as required and assigned
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