VP AML Compliance (prime brokerage)
The Vice President - AML Compliance ("VP of AML") will provide AML compliance support for all aspects of the Prime Services business, Prime Brokerage, which include but are not limited to client on-boarding, enhanced due diligence review, stock deposit documentation review and transaction monitoring. This role will play a key role in the global AML group to ensure compliance with Enterprise AML mandates and regulatory requirements.
Reporting into the Head of AML, the main responsibilities for Prime Brokerage customers will be to:
- Provide guidance to operations and the business relating to client on-boarding issues;
- Review customers' enhanced due diligence reports and escalate any concerns;
- Conduct on-going enhanced due diligence reviews on a timely basis;
- Conduct in-depth review of stocks requested for deposits and provide recommendation accordingly; and
- Monitor customer transactions for unusual activities using both manual and automated solutions.
This is a high visibility level role that will see you build and manage relationships across the business globally. You will need to possess a strong academic profile, commercial mindset, excellent organization and communication skills combined with the ability to work with all levels in the organization as a business partner.
Please respond to this advert if interested.