- Responsible for leading multiple departments in support of BSA/AML compliance strategies and objectives: Financial Crimes SAR Reporting, Compliance and Risk Management and Quality Assurance Departments.
- Leadership responsibilities for the SAR reporting team; including develop standardized SAR filing procedures and control framework.
- Champions the ongoing maturation of the Governance, Oversight & Reporting Program.
- Ability to take an enterprise view of Financial Crimes trends and activity and develop potential mitigants. Recommend AML strategy based on data (SAR filing data, issues management, external trends/activity, etc).
- Receive escalations pertaining to potentially suspicious activity or other matters of concern from principals and associates, while further reviewing these matters and ensuring proper regulatory filings are made - including responses to FinCEN information requests and the filing of suspicious activity reports ("SARs")
- Establish procedures and controls that reinforce compliance with the Firm's AML policies
- Interface on behalf of the Firm with regulatory and law enforcement authorities on BSA/AML matters
- Provide reporting to the Chief AML Officer and AML Operating Committee on the operational effectiveness, trends and risks of the Firm's BSA/AML program
- Monitoring the operations and internal controls designed to achieve compliance with EDJ's Investigations and SAR Filing Policies
- Maintaining an understanding of applicable legal and regulatory developments
- Ensuring proper filings or regulatory reports
- Bachelor's degree
- ACAMS Desired
- Series 7 - General Securities Representative (to be attained within 120 days of hire)
- 10 or more years of anti-money laundering and financial crimes compliance experience at a financial services institution. Direct experience leading a case investigations and SAR filing team. 7 years of leadership experience including significant people responsibilities and delivering results through others.
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Financial Advisor - Manchester, United States - Edward Jones
Description
Job OverviewJob Summary:
The Financial Crimes Director will serve as the senior leader responsible for the Advisory, Oversight, and Suspicious Activity Reporting ("SARs") team. He/she will be responsible to develop, implement and administer the internal controls in support of the Firm's Compliance with BSA/AML policies. This role requires comprehensive knowledge and skills in all areas of BSA/AML compliance and the ability to independently recognize, develop, and implement effective compliance/risk-related solutions for the program. He/she will engage and partner with stakeholders from across the firm to support the program and provide advice on complex BSA/AML issues to Legal, Compliance, and Risk areas and the AML Operating Committee Leadership. The individual will serve in this capacity for the US & Canadian Broker Dealer.
Responsibilities:
Skills/Requirements
Education -
Licensing -
Experience -
Awards & Accolades
About Us
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
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