- Serving as one the key points of contact for Regulators and key internal leaders in the global Capital Markets and Broker Dealer Businesses
- Identifying BSA and AML issues and subsequent remediation
- Providing proactive AML oversight and advice to Capital Markets and Broker Dealer businesses to include Investigations, Suspicious Activity, Transaction Monitoring, EDD, Patriot Act, OFAC and other relevant regulations.
- Sitting on the New Business Committee, provide specialist AML advice for new business initiatives and products
- Provide cross border AML advice
- Minimum of 8+ years of relevant AML experience gained in a large Banking institution and ideally, its Broker Dealer arm
- Excellent working knowledge of the AML regulations governing the Broker Dealer and Capital Markets space
- Strong knowledge of complex offences such Insider Trading
- Exceptional communication skills
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Citi Jersey City, NJ, United StatesThe Compliance Anti-Money Laundering (AML) Risk Management Director is a senior management level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. ...
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Flutter Entertainment PLC New York, United States:" · ABOUT FANDUEL · FanDuel Group ("FanDuel\") is an innovative sports-tech entertainment company that is changing the way consumers engage with their favorite sports, teams, and leagues. The premier gaming destination in the United States, FanDuel consists of a portfolio of lea ...
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Director of AML - New York, NY, United States - Larson Maddox
Description
Director of AML - Broker Dealer
Our client, a global Banking groups, is looking to hire an experienced AML professional at a Director level to provide specialist AML advice and guidance to senior leaders and key members of the firms substantial Capital Markets and Broker Dealer business arms. The firm are one of the world's largest banking groups whose Capital Markets business to go from strength to strength as they have acquired several new business lines from competitors. The Broker Dealer business in particular has been identified as a key growth area of the firm as such advising on AML and Financial Crime requirements on new business expansion will be a key part of the incumbent's remit.
This is second line position will report directly into the US Head of AML.
The Director of AML will be responsible for...
The Director of AML should have the following qualifications...
Director of AML professionals in New York City
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Joseph Bognanno
FinCrime Compliance Data & Technology Specialist