AML Advisory Team Lead

Broker dealer located in Orlando looking to bring on board a “AML Advisory Team Lead” to join their compliance team.

Responsibilities:

• In depth understanding of Bank Secrecy Act (“BSA”), USA PATRIOT Act, OFAC/Sanctions, and FINCEN requirements to be applied in practice for the respective business line’s Anti-Money Laundering program covered.

• Support AML advisory function for the respective business line coverage (front office, onboarding, operations/treasury)

• Handle escalations and resolution for front office, as well KYC onboarding and/or EDD escalations; and evaluate more complex account issues when they arise

• Work with AML management on policy and procedures updates/enhancements

• Work with AML management on periodical AML and sanctions risk assessment

• Work with Transaction Monitoring (TM) group on process hand off and timeline for them to take over activity review. Assist with interviewing process for additional TM hire if needed.

• Establish an ongoing escalation path and dialogue with TM team to receive activity escalations requiring further assessment/ SAR determination

• Work with respective Onboarding team - provide training & guidance on KYC requirements; establish escalation path and ongoing dialogue with onboarding team on more complex KYC matters (standing meeting)

• Contribute with expertise in related projects as needed to continue with applicable AML/Sanctions enhancements

• Work with Onboarding and Transaction Monitoring teams to facilitate the AML escalation process, ensure applicable protocol and procedures adherence