Jobs

    AML Advisory Team Lead - Tallahassee, United States - Madison-Davis, LLC

    Madison-Davis, LLC
    Madison-Davis, LLC Tallahassee, United States

    6 days ago

    Default job background
    Description


    Broker dealer located in Orlando looking to bring on board a "AML Advisory Team Lead" to join their compliance team.


    Responsibilities:

    • In depth understanding of Bank Secrecy Act ("BSA"), USA PATRIOT Act, OFAC/Sanctions, and FINCEN requirements to be applied in practice for the respective business line's Anti-Money Laundering program covered.
    • Support AML advisory function for the respective business line coverage (front office, onboarding, operations/treasury)
    • Handle escalations and resolution for front office, as well KYC onboarding and/or EDD escalations; and evaluate more complex account issues when they arise
    • Work with AML management on policy and procedures updates/enhancements
    • Work with AML management on periodical AML and sanctions risk assessment
    • Work with Transaction Monitoring (TM) group on process hand off and timeline for them to take over activity review. Assist with interviewing process for additional TM hire if needed.
    • Establish an ongoing escalation path and dialogue with TM team to receive activity escalations requiring further assessment/ SAR determination
    • Work with respective Onboarding team - provide training & guidance on KYC requirements; establish escalation path and ongoing dialogue with onboarding team on more complex KYC matters (standing meeting)
    • Contribute with expertise in related projects as needed to continue with applicable AML/Sanctions enhancements
    • Work with Onboarding and Transaction Monitoring teams to facilitate the AML escalation process, ensure applicable protocol and procedures adherence
    #J-18808-Ljbffr

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