Job Details

Senior Manager, Broker Dealer Specialist, AML/ATF Advisory

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Job Type


Years of Experience

Min 5 yrs required


New York City, NY

Date Last Verified

Aug 10,2017

Posted on

Jul 04,2017
Practice Area
Finance >> Finance - General
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Senior Manager, Broker Dealer Specialist, AML/ATF Advisory The candidate will be responsible for serving in an advisory capacity to the U.S. BSA/AML Compliance Program Office to bolster the U.S. AML/ATF Department with specialized knowledge and experience to address specific U.S. BSA/AML and OFAC risks, including those as driven by the Bank Secrecy Act (“BSA”). Serve as the dedicated advisory specialist in support of Capital (USA), Inc. (“SCUSA” or “Firm”), a registered broker-dealer and future commission merchant (“FCM”), which is supervised, among others, by the Self-Regulatory Organizations (SROs), including the Financial Industry Regulatory Authority (“FINRA”) and the National Futures Association (“NFA”). Provide appropriate support, as needed, for any AML/OFAC regulatory matters related to the Firm activities across all products and lines of business, including Prime Brokerage Services, Debit Capital Markets, Equity Capital Markets, Credit Sales and Trading, Institutional Equity Sales and Trading, and Emerging Markets. Review, interpret and assess regulatory impact related to proposed or new AML rules, regulatory AML advisories as well as those mandated by the SROs, including FINRA Notices to Members. Coordinate with the SCUSA Chief Compliance Officer to keep abreast of any new or emerging issues in order to align appropriate support for AML/OFAC regulatory matters revolving around any of the new Firm's activities. Provide appropriate real-time AML/OFAC compliance advice to the relevant SCUSA front office, operations and trading floor personnel. Conduct targeted and/or customized AML/OFAC training, including as part of the SCUSA Firm Element training program, offered to the relevant SCUSA front office, operations and trading floor personnel. Assist with internal and external examinations, including FINRA exams, audits, inquiries, annual BSA/AML and OFAC Risk Assessments, and any similar reviews to ensure appropriate SCUSA coverage, including compiling of requested data and/or drafting responses as needed. Assist SCUSA personnel with responding to a Request for Information (“RFI”), as submitted by the U.S. FIU, in order to obtain additional information to gain a better understanding of SCUSA customers or their transactional activity. Analyze SCUSA trade surveillance activities, email surveillance or any related sales practice activities, including any relevant exception reports or related MIS reporting, in order to identify necessary enhancements to AML transaction monitoring rules and investigative processes, with a focus on SCUSA customers and their activities. Assist the U.S. Suspicious Activity Reporting (“SAR”) Committee, as needed, in assessing the appropriateness of SCUSA customers’ unusual activity investigation cases that may potentially warrant a SAR, and assist in drafting of related SARs for subsequent filing with FinCEN. Assist in preparing SCUSA related MIS AML Monitoring Reports, as appropriate. Bachelor’s degree in accounting, business administration, finance, or similar field is essential. Advanced degrees, JD or MBA degree preferred. Must have 5+ years’ experience working in a regulatory and/or compliance, law enforcement or other investigative capacity within a broker-dealer and/or financial institution setting. Extensive knowledge of FINRA broker-dealer rules, including those related to AML/OFAC is essential. Strong institutional brokerage and investment advisory product knowledge preferred. Series 7 required and Series 24 preferred. Member of SIFMA AML Committee – preferred. Regulatory experience is preferred.

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Job ID: 77351

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