of the AML and OFAC broker-dealer compliance function.
... inquiries, annual BSA/AML and OFAC Risk Assessments, and any... similar reviews to ensure appropriatecompiling of requested data and proper drafting of responses as needed.
Assist in regulatory, surveillance enhancements and...
Global Sanctions Compliance Counsel
The candidate will serve... Provide legal advice and counsel across a wide-spectrum of... and liaise with outside counsel in responding to litigation... as well as outside counsel. Must have JD, admitted... to practice, 4-8 years of...