Vice President - AML Compliance in New York City, New York | DiversityInc Careers
 
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Vice President - AML Compliance

Job Description
The Vice President – AML Compliance ("VP of AML") will provide AML compliance support for all aspects of the TD 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. The role supports a high profile regulation and requires interaction with members of the global AML group, corporate compliance, operations and the business to ensure compliance with Enterprise AML mandates and regulatory requirements.Job Requirements
Primary duties include for Prime Brokerage customers:

• Provide guidance to operations and the business relating to client on-boarding issues;

• Review customers' enhanced due diligence reports and escalate any concerns to the Head of AML;

• 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;

• Participate in special projects, including assisting with adherence to enterprise-wide global initiatives including global policies and governance; and

• Assist with regulatory and audit requests.
Qualifications
• 4 years college/university Degree;

• Minimum of 8 years BSA/AML experience in the Prime Brokerage space;

• Strong working knowledge of Bank Secrecy, Anti-money Laundering, USA Patriot Act and OFAC regulations;

• Strong regulatory research background and verbal and writing skills; and

• Experience with automated surveillance system Actimize a plus.