AWM Compliance Manager

Profile

AWM Compliance Manager
The candidate will be responsible for oversight of the Private Bank business. Will provide support to ensure that the firm’s Financial Crime program is successfully implemented. Will: Assess and analyze Anti-Money Laundering issues such as high risk client review, new product, guidance around PEPs, negative media and corruption issues; Provide clear advice of the application of US rules and firm policy in relation to Anti-Money Laundering; Identify and investigate potential rule and policy breaches, conduct investigations, coordinating corrective/remedial action with other control functions as necessary/required; Keep abreast of industry trends and “hot issues” and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed; Handle KYC advisory matters; Assist in the development and implementation of any AML related remediation programs and/or projects; Provide appropriate reporting to senior business management on the status of financial crimes risks within the Private Bank Provide succinct summaries of AML Events that have been escalated to the LOB Management of AML escalations related to KYC, Negative Media, Transactions, etc. Provide assistance to Exam Management, BIL team, GFCC Testing and other control functions.

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