Senior Wealth Compliance officer FL/NY Global Investment Mgmt. Co. Attractions:# CAML13

posted on: 13 Sep 2017

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Description:
Prestigious Fortune 100 Financial Services with $1BB+ sales- is seeking a Senior Wealth Compliance officer to be the subject matter expert on the (KYC) and AML functions including the Bank Secrecy Act/Anti-Money Laundering, the USA PATRIOT Act, Office of Foreign Assets Control, 314 a/b as well as other regulations for a trust and estate tier. Offering competitive compensation, salary & bonus, annual increases and generous benefits.
  
Position
  • Conduct KYC Reviews as well as conduct quality assurance reviews of reviews performed by staff.
  • Be proficient in review of complex legal entity structures, private investment companies, and Politically Exposed Persons or other high risk relationships.
  • Liaise with the AML Transaction Monitoring Manager to ensure that KYC policies and risk rating programs are implemented in conjunction with FTCI’s Transaction Monitoring programs. Report to the Head of AML and act as team lead to employees responsible for the KYC/AML Validation.
  • Identify and resolve any issues in the onboarding/AML process.
  • Plan, coordinate and direct the Bank Secrecy Act functions and related policies, procedures, training and compliance regime.Develop policies for various businesses as required by regulatory standards
Requirements:
  • Requires a bachelor's degree or equivalent training.
  • 10 (+) years’ experience in financial services private banking and wealth management industry.
  • Comprehensive understanding of KYC, AML/Transaction Monitoring, OFAC and the USA PATRIOT act are required.
  • Prior Management experiences a plus.
  • Compliance experience including knowledge of required legal governing documents for legal entities and knowledge of the Know Your Client/Anti-Money Laundering/ Bank Secrecy Act/ US Patriot Act requirements required.
  • Ability to trouble-shoot and resolve KYC/AML issues in a timely manner.
  • Ability to guide and advise business on KYC/AML issues.
  • ACAMS Anti-Money Laundering Certification desired
  • Position can be filled in New York or Tampa Florida
Send your resume in confidence to bjacobs[at]meridianlegal.com  
Type: Attorney- In-House
Level: Associate
Practice: Compliance
Compensation: unspecified
State: Florida City:
Telephone: Email: bjacobs@meridianlegal.com
Recruiter Name: Brian Jacobs