Global Financial Crimes Advisory Director (AVP)

About the role

We are seeking a Director-level individual to join our team as a Global Financial Crimes (GFC) : Institutional Securities Group (ISG) Financial Crimes Advisory Professional. This position is within the ISG Financial Crime Advisory team, focusing on the financial crimes obligations associated with the Firm's Investment Banking and Global Capital Markets Businesses.

Responsibilities

• Serve as point of escalation and provide support in connection with Know Your Customer (KYC) onboarding, enhanced due diligence and transactional due diligence matters
• Aid in transactional due diligence with respect to clients, co-investors, and investments and provide guidance to the business on due diligence requirements
• Aid in client risk escalation review process, reviewing background checks, due diligence documentation and analyzing financial crimes and reputational risks
• Aid in the review and approval of New Product Approval
• Identify and evaluate financial crimes risks related to clients, counterparties, and/or transactions
• Serve as members on various business, compliance and risk committees
• Provide guidance and support to Operations team in their implementation of Global KYC Standards and country-level standards
• Draft/revise and execute on policies and procedures
• Provide financial crimes subject matter expertise on changes in regulatory requirements and serve as an effective advisor to the business, legal, risk and Operations on financial crimes matters
• Deliver training to the BUs, risk, legal, compliance and other first-line and other support functions
• Aid with escalations in connection with regulatory interpretation and application of facts in connection with policies

Requirements

• 5+ years of relevant experience, preferably at an asset manager, large/complex financial institution, law firm, or government/regulatory body
• Detailed understanding of the laws, rules, and regulations pertaining to AML as well as sanctions and anti-corruption
• Solid knowledge of Investment Management, including Registered Mutual Funds, Investment Advisory Mandates, Private Equity, Real Estate and Fund of Fund Investing
• Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program
• Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
• Exceptional written and verbal communications skills, attention to detail, and effective time management
• Sound judgment and an ability to manage and appropriately escalate issues internally

Qualifications

• CAMS certification - be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within 15 months of hire