AML Advisory

New York, NY

Posted: 02/07/2019 Industry: FIN Consulting Job Number: 11847550

Role Description / Areas of responsibility

Provide AML, Sanctions, and ABC subject matter and policy expertise to directly support Client AML Compliance Program.

Advise various lines of business, including Investment Banking and Institutional Sales, regarding AML, Sanctions, and ABC requirements.

Advise KYC Operations group on policies and applicable laws and regulations, including beneficial ownership/CDD, and PEP relationships.

Assist with preparation, coordination, and execution of the Firm's AML, Sanctions, and ABC risk assessments.

Assess materiality of adverse information referrals and surveillance alerts.

Evaluate customer due diligence reports, and manage enhanced due diligence process.

Keep up to date on industry developments through regular participation in AML related forums and training.

Participate in global Compliance initiatives, working closely with counterparts in London, Singapore, and Tokyo.

Manage complex, long term AML, Sanctions, and ABC related projects.

Skills, experience, qualifications and knowledge required
Comprehensive understanding of the BSA/USA Patriot Act, OFAC sanctions, and FCPA.

Minimum 5-7 years applicable experience (e.G., broker-dealer, regulator, or bank).

Practical broker dealer and capital markets knowledge.

Strong communication and presentations skills.

Ability to act decisively and independently in situations requiring quick analysis and decision making.

CAMS a plus.

Seth Friedland

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