VP Compliance, AML Financial Crimes

Duties:

• Manage and perform investigations of potential securities fraud or illegal behavior by clients or market counterparties that may involve money laundering or terrorist financing.

• Develop and complete Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement.  

• Compile and prepare reports and related statistics concerning SAR filings, including sources and topics of SARs, with associated record-keeping.

• Understand and help manage end to end alert/investigation workflows and be able to liaise with the Head of Trade Surveillance and the Trade Surveillance team.

• Work with the Trade Surveillance team in managing and reviewing financial crime related alert/report scenarios to ensure proper coverage, parameters, and data.  

Qualifications:

• 5 plus year of direct AML financial crimes experience