Regulatory & Compliance, Corporate AML Oversight - VP
Full-time
Partnership Employment
Responsibilities
- Oversee and strengthen enterprise AML/CFT policies, governance practices, risk controls, and compliance monitoring.
- Interpret evolving financial crime regulations and implement enhancements aligned with BSA, FinCEN, OFAC, SEC, and FINRA expectations.
- Advise internal stakeholders on AML risks associated with new business initiatives, investment products, and client relationships.
- Lead financial crime risk assessments, evaluate control effectiveness, and recommend improvements to address identified gaps.
- Provide guidance on complex KYC reviews, high-risk investors, sanctions exposure, beneficial ownership, and enhanced due diligence.
- Support suspicious activity escalations, investigations, and regulatory reporting processes.
- Prepare risk assessments, compliance updates, and remediation reporting for senior leadership and governance committees.
- Coordinate regulatory examinations, internal audits, independent reviews, and compliance testing activities.
- Assess external service providers responsible for AML/KYC functions, including their procedures, monitoring capabilities, and regulatory controls.
- Oversee corrective action plans, track outstanding compliance issues, and ensure timely remediation.
- Partner with Legal, Risk, Operations, and Technology to strengthen financial crime prevention practices.
- Develop AML training initiatives and provide guidance on emerging risks, regulatory expectations, and escalation protocols.
Vacancy posted 1 day ago
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