Director Aml And Financial Crime Compliance

Profile

Director AML and Financial Crime Compliance
Duties: Participating in the enhancement and development of Group’s onboarding program and procedures to encompass required AML and other customer diligence, including recommendations about the selection of and use of technology to support the programs. Enhancing Group’s global financial crimes compliance program, including further development and maintenance of procedures and controls for onboarding clients and third parties in a risk-based manner in compliance with applicable regulations. Acting as an escalation point for the regulatory compliance officers, Client Onboarding team, and other key stakeholders, and performing enhanced due diligence reviews on higher-risk third parties and accounts in accordance with the company’s compliance program. Conducting and reporting results of periodic monitoring/quality assurance of controls, including in the Client Onboarding team. Monitoring and communicating potential changes in applicable regulations and providing advice to the business regarding any such developments. Assisting with the responsibilities of individuals appointed and designated as AML Compliance Officers for Group’s regulated businesses, including the U.S. broker dealer and other European and APAC regulated entities. In coordination with Group’s TPRM Team, providing information to clients and other requestors on Group’s financial crime compliance program. Coordinating the due diligence and reporting of boycott requests. Assessing compliance system technology features/capabilities, data feeds and mapping, appropriate and customized usage, implementation gaps, identification of necessary controls, ensuring alignment to risk appetite, and identifying automated controls/processes. Assisting with risk assessments, regulatory examinations and internal audits. Reviewing proposed export and import transactions to determine licensing requirements. Maintaining and managing import and export documentation and licenses in accordance with regulations. Educating and training internal staff on policy changes, new directives and spotting potential red flags or suspicious activity.

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