Bilingual CHIEF AML OFFICER - Houston, United States - Banorte Securities

Banorte Securities Houston, United States

3 weeks ago

Accounting / Finance

Description

POSITION SUMMARY

Provides hands-on risk assessments, monitoring capability, and be able to manage and supervise AML personnel. Securities markets compliance based on strong experience, confidence and pro-active focus is what is sought for the Compliance culture of the organization.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Performs daily review, monitoring, and analysis of various reports, logs and transaction data to identify trends unusual activity, and approve/monitor wire transfer activity; determines if transactions are suspicious in nature, significant changes in balances, structuring in deposits, flow-through of funds, and new account openings, etc.
Conducts suspicious activity report investigations of escalated alerts, high-risk customer/account reviews, and assists in the preparation and filing of the SARs within the permissible timeframes.
Assists with the individual risk assessment and ranking of customers through analysis of Customer Due Diligence within BSA/AML Manual.
Assists in the administration of the automated BSA/AML system, research and resolve alerts/cases and conducts investigations with the AML monitoring system.
Performs periodic Enhanced Due Diligence analysis reviews on high risk.
Performs periodic OFAC verification scrub of the customer base.
Assists in compliance with FinCEN 314(a) (PATRIOT Act) responsibilities.
Performs a review of new accounts for compliance with Customer Information Program/Know Your Customer (CIP/KYC), Customer Due Diligence (CDD), and Beneficial Ownership requirements.
Analyze legal documentation in both English/Spanish.

QUALIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

EDUCATION and/or EXPERIENCE

Completed or actively pursuing bachelor's in accounting, Business, Economics, Finance, or related field highly preferred.
The ideal candidate will have at least 3 years of related experience in the securities industry compliance, risk management, process improvement, audit or the legal field related to wealth management and broker dealer industry.
4 years of concentrated experience in BSA/AML.
Strong critical thinking and problem-solving skills.
Maintain current knowledge of the Bank Secrecy Act, Customer Information Program, Customer Due Diligence, OFAC, and all related anti-money laundering regulations.
Maintain current knowledge of all federal and state laws and regulations, along with the firm's policies and procedures.
Working knowledge of red flags for money laundering, fraud, structuring, counter financial terrorism, and other financial crimes.
Must have a strong knowledge of industry and business economical perspectives.
Experienced knowledge of banking operations.
Ability to communicate at all levels. Strong verbal and written communications skills. Must be a team player.
Ability to work independently with limited direction from supervisor.
Proficient in Excel, Word, and PowerPoint.
Professional certification(s) such as Certified Anti-Money Laundering Specialist (CAMS) or completion of specialized training in compliance or applicable certifications is highly recommended.

LANGUAGE SKILLS

Bilingual in English and Spanish required.

MATHEMATICAL SKILLS

Ability to work with mathematical concepts such as probability and statistical inference. Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations. Strong quantitative analytical skills.

REASONING ABILITY

Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions and deal with several abstract and concrete variables.

PHYSICAL DEMANDS

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit. The employee frequently is required to talk or hear. The employee is occasionally required to stand, walk, and reach with hands and arms. The employee must occasionally lift and/or move up to 50 pounds.

WORK ENVIRONMENT

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

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