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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Litigation - Whistleblower - CFTC
Real Estate
Min 5 yrs required
Compliance Manager 4 The candidate work for company’s Wealth, Abbot Downing, Trust Operations and Retirement Programs (“Wealthâ€) will report directly to the Wealth, Brokerage and Retirement (WBR) Group BSA Manager and will also have dotted line reporting to the Wealth Chief Compliance Officer. Leads key AML program activities for Wealth by establishing and maintaining the governing principles and standards which will protect the supported businesses from being used to launder money, finance terrorism and other illegal activity, and to manage the regulatory and financial risks associated with unusual and fraudulent activity. Ensures that appropriate controls, resources and organizational support are in place to sustain an effective program; identifies AML-related industry trends; oversights partners to ensure that business line personnel are appropriately trained to effect the front line of defense against money laundering activities. Builds solid relationships with key business partners to help employ and maintain effective program activities, and meets regularly with fellow compliance management, line of business partners, corporate Financial Crimes Risk Management (“FCRMâ€) partners, and industry groups to achieve program goals and build momentum for longer-term strategic initiatives. Responsible for the day-to-day governance of owned and distributed processes, and will lead governance committees and working groups that are designed to appropriately socialize AML Program information, trends, present and future risks. The leader in this position will be tasked with ensuring the appropriate level of organizational engagement and support.
Qualification and Experience
The candidate should have 10+ years of experience in compliance, operational risk, IT systems security, business process mgmt or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). 5+ years of management experience is needed. Must have previous experience successfully integrating divisional AML, Risk Management, Regulatory Compliance and/or Internal Audit programs with large, complex financial institution corporate policies. Prior, proven experience interfacing and building relationships with Internal Audit departments and regulatory authorities are needed. Proven experience in influencing and building relationships with fellow compliance management, business unit partners, corporate BSA partners, and industry groups are required. Should have demonstrated success leading AML programs, or the equivalent (e.g. Risk Management, Regulatory Compliance and/or Internal Audit programs) for large, complex retail brokerage, and/or banking financial institutions. Must have expert knowledge and demonstrated track record of developing and implementing effective AML, Risk Management, Regulatory Compliance, and/or Internal Audit policies and programs, including overseeing significant technology projects in one or more of those areas. Should have ability to develop long-term, strategic AML programs in partnership with Business Unit Management within large, complex financial institutions. Must have proven managerial and people development skills. Planning and project management skills are needed. Should have exceptional leadership, communication and interpersonal capabilities, including the ability to interpret and convey complex issues in a positive, persuasive and informative manner. Proven ability to effectively manage regulatory examinations, internal audits and similar control review and testing engagements are needed. Deadline: 3-10-2014.
Ref-5027279.
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