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Years of Experience
ProfileCompliance Director - AML Compliance Risk Management (ACRM) Head of Markets & Securities Services
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.