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Years of Experience
Date Last Verified
ProfileAssistant Vice President, AML Compliance Officer The candidate's responsibilities: Participate as an active member of the Firm’s AML Compliance team; Focus on improving the Firm’s transaction monitoring program; Support the on-going review of CF&Co.’s financial crime, risk management framework (including anti-money laundering counter terrorist financing), sanctions, fraud and anti-bribery and corruption; Assist in developing and enhancing compliance processes and procedures as needed.
Qualification and Experience
The candidate should have BS or BA from an accredited university. Law degree or pursuit thereof is a plus. Should have 2+ years of work experience in AML Compliance. Must have 4+ years of work experience in Financial Crime Regulations. Thorough knowledge of BSA/Patriot Act and financial crime regulations. Understanding of the FINRA rules and relevant regulations, and the ability to apply this knowledge in a commercial environment. Experience with transaction reporting surveillance. Understanding of wash trade, spoofing, pump & dump scenarios and analysis thereof. Some experience in broker dealer compliance. Superior mathematical skill able to work with formulas. Superior written and verbal skills in order to communicate effectively. Computer literacy; experience with Microsoft Office Suite.