VP, AML Compliance Officer

Full Time

Madison-Davis Client

Responsibilities include, but are not limited to:

  • Effectively coordinate and execute an dynamic AML Compliance Program in compliance with current industry best practices, regulatory guidance and requirements
  • Develop and administer 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 firm-wide policies and procedures
  • Establish an effective global sanctions monitoring program including OFAC and other relevant jurisdictions
  • Conduct periodic risk assessments with considerations to customers, products, services, members and geographies that may present AML risks
  • Provide 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
  • Respond to periodic examinations/audits by FINRA, SEC and independent firms
  • Perform other duties as required and assigned

Experience and Skills

  • Advanced knowledge of AML and sanctions compliance rules and regulations in the banking and securities industry
  • Experience as an AML Compliance Officer for a bank or large broker dealer with a variety of businesses including wealth management
  • Active FINRA Series 7 and 24 and ACAMS
  • Strong decision making and investigative skills, analytical skills as well as problem-solving, and critical-thinking skills
  • Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
  • Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
  • Executive-level business acumen in the areas of business operations, industry practices and emerging trends
  • Strong management and supervision skills
  • Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
  • Ability to work in a constant state of alertness and safe manner
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