VP AML Compliance Officer - Wealth ManagementPrime Brokerage
VP AML Compliance Officer - Wealth ManagementPrime Brokerage
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$ 160000 - 195000
1 Vacancy
Job Description
AML Compliance Officer Wealth Management / Prime Brokerage
The Compliance Anti Money Laundering Officer covering Wealth Management / Prime Brokerage is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AntiMoney Laundering (AML) team.The overall objective is to design and implement the AML risk management program for the Wealth Management and Prime Brokerage divisions and utilize indepth specialty knowledge to identify issues/problems and devise recommendations for complex situations.
Responsibilities:
- Develop and assist in the implementation of firmwide AML risk management policy and strategic AML Compliance Risk Management direction as well as maintain the AML compliance program for the Wealth Management and Prime Brokerage divisions.
- Translate AML strategy and goals across Wealth Management and Prime Brokerage clients products and geographies in a succinct brief and clear manner as well as provide direction and guidance on the program.
- Provide advice to the businesses regularly on new business initiatives new products business acquisitions and clientrelated matters with respect to applicability of policies resolution of potential red flags or other client/transactionrelated compliance escalations.
- Work with business/functional line management in recommending developing and executing on business initiatives within permissible statutory and regulatory frameworks.
- Assess complex issues structure potential solutions and drive effective resolution with other senior stakeholders.
- Liaise with regulators and internal audit staff for AML matters including coordinating AML related examinations audit and reviews document production and issue replies.
- Participate in and manage various internal assurance processes including regional enterprise wide and horizontal risk assessments selfassessment internal audit and compliance testing reviews.
- Appropriately assess risk when business decisions are made demonstrating particular consideration for the firms reputation and safeguarding Jefferies its clients and assets by driving compliance with applicable laws rules and regulations adhering to Policy applying sound ethical judgment regarding personal behavior conduct and business practices and escalating managing and reporting control issues with transparency as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards
Qualifications:
- 10 years of relevant experience
- AntiMoney Laundering (AML) certification
- Experience in managing regulatory exams and relationships with examiners and auditors
- Extensive knowledge of appropriate regulatory requirements including local and US laws international and industry standards for broker dealers
- Extensive knowledge of AML regulations risks and appropriate controls
- Demonstrated leadership and motivational skills
- Ability to work with regional and global partners and influence and lead people across culture and senior level
Education:
- Bachelors Degree/University degree or equivalent experience
Primary Location Full Time Salary Range of $160000 $195000.
Required Experience:
Exec
Employment Type
Full-Time
