The Manager, Anti-Money Laundering supports the AML Compliance Officers in the day-to-day management of the firms AML compliance program, with all areas of the firm (trading, client services, operations, and IT) to ensure that the firm has appropriate policies and procedures in place, and those policies and procedures are followed. In addition, they will interact with business lines to provide guidance to applicable AML/OFAC regulations.

Duties/Responsibilities:

• Allocates surveillance work assignments, manages case and alert workflow, reports suspicious activity trends to management
• Ensures surveillance team compliance with all securities AML/BSA/OFAC rules and regulations
• Provides training, assistance, advice and guidance in the review and analysis of customer activity and complex transactions to identify unusual or suspicious activities
• Reviews alerted transactions and makes determinations of customer's account activity within the scope of the customer's relationship
• Determines the need for a complete investigation of the customer's relationship/transactions through the use of internal data resources and of public information searches
• Designs and produces metrics reports to the department and senior management related to key performance indicators
• Receives and responds to law enforcement inquiries regarding filed Suspicious Activity Reports (SARs)
• Manages regulatory audits and requests as need for the AML Department
• Coordinates AML surveillance results and inquiries with appropriate business line management and team members
• Periodically meets with business leaders to ascertain firm vulnerabilities to fraud and money laundering schemes
• Assists management in implementing adequate controls and quality assurance processes to provide early identification and prevention of potential compliance problems
• Under management direction, ensures compliance with all securities and/or banking rules and regulations to coordinate compliance functions
• Manages the day-to-day oversight of the AML team to ensure internal deadlines are met on a daily, monthly and annual basis
• Contributes to relevant external examinations, ensuring that requested information and reports are provided
• Assists and supports, as appropriate, other roles within the compliance team

Required Skills/Abilities

• 3+ years' experience in an AML compliance department of a financial institution or related back-office position
• Working knowledge of broker-dealer products and operations
• Familiarity with federal AML/OFAC and Red Flag prevention regulations
• Holds self-accountable for high personal and professional standards
• Must be detail-oriented and able to work independently
• Ability to organize and manage multiple priorities/tasks simultaneously in a fast-paced environment
• Excellent interpersonal and communication skills
• Excellent analytical and problem-solving skills
• Demonstrated ability to handle administrative details and routine day-to-day issues independently, assuming responsibility without direct supervision
• Computer proficiency in Word, Excel and Outlook

Preferred:

• Bachelor's degree in Finance or Business
• Certified Anti-Money Laundering Specialist (CAMS) designation
• FINRA Series 7 and 24

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