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Job ID Number: 1256833063
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Anti-Money Laundering |
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| Job Title: |
Anti-Money Laundering |
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| State/Location: |
Florida |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Financial services firm seeks an Anti-Money Laundering (AML) professional.
The AML Compliance person will provide substantial hands-on AML and compliance support to the firm.
He/she must have working knowledge of current AML/BSA laws as structured within the framework of a busy global FINRA/SEC regulated Securities Firm. RIA and ’40 Act experience and/or experience with clearing and custody are considered a plus.
Candidate must have hands-on experience with incident reporting and case management software, investigative suite of tools; transaction monitoring tools (preferably Actimize). Must be skilled in project management and familiar with risk based methodologies.
Candidates should have experience with regulatory requirements for broker-dealers and registered investment advisors. Prior experience drafting Suspicious Activity Reports (SARs) is a plus.
Must have ability to interact with senior managers from diverse business units and operate with heightened awareness and sensitivity for privacy and security.
Candidates should have an investigative mindset for report writing and be able to contribute to the continuous improvement of processes, policies and procedures.
Candidate must have prior experience conducting enhanced due diligence on new client relationships, and the ability to perform in-depth investigations. Ideal candidate must demonstrate strong analytical skills and the ability to draft targeted memos on their findings.
Minimum five years of Compliance experience at a Broker-Dealer or Investment Advisor. Extensive knowledge of FINRA and applicable SEC rules; ability to reach sound conclusions independently; excellent interpersonal skills; excellent verbal and written communication and problem solving skills; ability to multi-task effectively; and strong ability to roll-up sleeves and get things done.
Series 7, 24 and 63 preferred. Intermediate skills in Microsoft Office (Excel, Word, PowerPoint, etc.) Prior experience with Lexis-Nexis or Factiva, and experience using screening tools such as World-Check, Choicepoint, PFA, CDC or MIS
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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