Job Details

Corporate General Attorney in New York City NY

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Jul 19,2019

Posted on

Jul 11,2019

Years of Experience

Min 15 yrs required

Location

New York City, NY, United States
Practice Area
Corporate >> Corporate - General
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Compliance Director - AML Compliance Risk Management (ACRM) Head of Markets & Securities Services
The candidate will manage a team of compliance professionals in the U.S. and coordinate with a network of regional colleagues supporting these lines of business. Define and maintain AML product specific compliance standards. Collaborate with, and provide credible challenge to the business, Operations, and other strategic partners for the maintenance, and where necessary design and implementation of additional product controls for MSS businesses. Provide compliance advice to the business on an ongoing basis with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations. Participate in various business and compliance governance and oversight forums (e.g.: Business Risk and Controls Committees) as required. Advise on new business initiatives and evaluate risks associated with new products via the relevant company’s forums (New Product Approval Committee, AML New Product process). Participate in and manage or coordinate, as appropriate, various internal assurance processes, e.g. Enterprise wide and Horizontal Risk Assessments, Manager Controls Assessment, Compliance Assurance, Internal Audit or Compliance Assurance review. Liaise with banking and securities regulators during exams and other inquiries. Develop and execute product specific AML training, as required.

Qualification and Experience

The candidate should have Bachelor’s degree. Advanced degree (e.g. JD degree, MBA) or AML certification preferred. Must have 15+ years of experience in financial services, with experience in brokerage activities. 8-10+ years of experience in leadership and managerial skills, with the ability to develop and manage a team of compliance professionals. Experience in managing regulatory exams and relationships with examiners, auditors, etc. Possess a strong understanding of AML requirements applicable to banks and broker dealers. Possess strong organizational skills and be able to drive program change. Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging. Significant knowledge and expertise of AML regulations, risks and appropriate controls required. Ability to interact and communicate effectively with senior leaders; comfortable with acting as one of senior managements main points of contact.

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