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In-House
Legal Staff
Criminal Law - Prosecution
Litigation - General (consumer)
5-7 yrs required
Senior Manager - AML (Anti-Money Laundering) Governance The candidate will identify and implement effective AML and OFAC program policies and procedures, apply gap analytics to ensure corporate alignment with applicable regulations and regulatory expectations, and foster the development of mature and continuous improvement processes. Will manage the creation, revision and maintenance of corporate-wide BSA/AML and OFAC Policies and Department procedures. Analyze the impact of regulatory updates on the company's BSA/AML and OFAC/ Sanctions policies and program. Analyze the impact of corporate BSA/AML and OFAC risks at the company and create documentation which effectively communicated those risks. Participate on the development, implementation and maintenance of the storage and retrieval solution for corporate wide AML Policies, Procedures and Program documents (including cataloging, archiving and version control) which facilitates production of documents for internal audits, regulatory exams and AML testing. Act as the primary liaison between AML staff and various internal departments, such as Legal, the Regulatory Liaison Office and AML and Compliance Senior Management for audit and exams. Able to clearly communicate the difference between regulatory requirements, industry standards and business risk decisions.
Qualification and Experience
The candidate should preferably have Corporate Law degree or equivalent work experience. Certification as an AML Specialist (CAMS) preferred. Must have 5-7 years of work experience in the financial services industry (banking and/or securities) with a solid background in BSA, AML, and OFAC compliance, or Risk Management, and leadership experience. Should be a subject matter expert in anti-money laundering policies and applicable rules and regulatory requirements to include experience with CIP, CDD, EDD requirements specific to a broker-dealer and/or bank environment. Must have experience in one or more of the following fields: Compliance Paralegal, Securities laws & regulations, broker-dealer requirements, AML Compliance, FFIEC standards, Compliance, Risk, Audit and/or Corporate Law. Solid understanding of the US and International regulatory climate and how regulations will impact operational processes needed. Deadline: December 1, 2017.
Job ID: 20170503-2183
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