- Serve as the main contact for regulatory inquiries, ensuring prompt and accurate responses and documentation.
- Prepare the company for regulatory examinations by working with internal teams, conducting mock audits, and assisting during on-site visits.
- Manage regulatory changes, evaluate their impact on the AML program, and make necessary adjustments.
- Enhance AML policies to align with regulations and industry standards, updating documentation as needed.
- Deliver training sessions on regulatory expectations and compliance requirements to internal teams.
- Monitor regulatory trends, identify potential compliance gaps, and improve the AML program accordingly.
- Maintain thorough records, organize documentation efficiently, and support compliance tracking efforts.
- Collaborate with legal, risk management, and other departments to ensure consistent regulatory responses.
- Must be authorized to work in the United States.
- Bachelor's degree in finance, business, law, or related field (advanced degree preferred).
- 10+ years' AML compliance experience in financial services, particularly in broker dealer operations.
- Deep understanding of AML regulations (BSA, USA PATRIOT Act, OFAC) in broker dealer context.
- Proven leadership in AML teams, fostering collaboration and continuous improvement.
- Track record of handling regulatory inquiries, examinations, and audits from relevant bodies.
- Familiarity with broker dealer compliance reporting, including SARs and CTRs.
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Head of AML - New York, United States - Michael Page
Description
The Head of AML position involves leading and implementing comprehensive anti-money laundering (AML) efforts within a reputable broker dealer firm, ensuring compliance with regulatory requirements and mitigating financial crime risks. This critical role requires strategic thinking, leadership skills, and deep expertise in AML regulations specific to the financial services industry.
Client Details
Our client is a reputable brokerage firm based in New York, NY. They specialize in providing financial services such as trading, investment advisory, and asset management.
Description
The Head of AML will be responsible for:
Profile
The successful Head of AML candidate should have the follwing background:
Job Offer
The offer for the successful Head of AML candidate includes a competitive base salary with benefits (Health, Medical, Dental, 401K, PTO), along with the opportunity to lead and impact the AML efforts of a reputable broker dealer firm.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
