AML Advisory Team Lead
📋 Role Overview & Responsibilities
Broker dealer located in Bergen County looking to bring on board a “AML Advisory Team Lead” to join their compliance team. This role is on a hybrid schedule (3 days in office). Responsibilities:
- In depth understanding of Bank Secrecy Act (“BSA”), USA PATRIOT Act, OFAC/Sanctions, and FINCEN requirements to be applied in practice for the respective business line’s Anti-Money Laundering program covered.• Support AML advisory function for the respective business line coverage (front office, onboarding, operations/treasury) • Handle escalations and resolution for front office, as well KYC onboarding and/or EDD escalations; and evaluate more complex account issues when they arise • Work with AML management on policy and procedures updates/enhancements • Work with AML management on periodical AML and sanctions risk assessment• Work with Transaction Monitoring (TM) group on process hand off and timeline for them to take over activity review. Assist with interviewing process for additional TM hire if needed.• Establish an ongoing escalation path and dialogue with TM team to receive activity escalations requiring further assessment/ SAR determination• Work with respective Onboarding team - provide training & guidance on KYC requirements; establish escalation path and ongoing dialogue with onboarding team on more complex KYC matters (standing meeting)• Contribute with expertise in related projects as needed to continue with applicable AML/Sanctions enhancements • Work with Onboarding and Transaction Monitoring teams to facilitate the AML escalation process, ensure applicable protocol and procedures adherence
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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