Global Financial Crimes Alert Monitoring and Screening Director (AVP)

About the role

This is a Director level position within the Investigations team, where you will be responsible for conducting alert reviews from internal and external sources, including negative news and transaction monitoring, performing the necessary research and analysis of transactional activity in order to determine if an escalation is required for further review.

Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm's financial crime prevention efforts, including governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. As a team member in GFC, you will play a critical role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system.

Responsibilities

• Draft disposition summaries that support the alert review outcomes, ensuring documents are clear and concise while complying with regulatory expectations
• Ensure a high quality work product and that the level of documentation adheres to procedural expectations
• Respond to questions from various stakeholders including GFC colleagues, Risk partners located in the field, and other Business Unit personnel
• Proactively identify risks to the GFC program, work with manager to develop solutions, and escalate as necessary
• Source and implement process improvements to increase efficiency and effectiveness
• Ensure daily operational processing is completed according to established program SLAs and regulatory requirements

Requirements

• Bachelor's degree or equivalent military experience
• 5 years of investigative or related experience with emphasis on BSA/AML
• A foundational understanding of the financial markets and banking, including broker-dealer product-based knowledge and the ability to learn concepts quickly
• Strong communication and presentation skills with the ability to communicate effectively through all levels of the organization
• Self-motivated and independent operator with the ability and maturity to make decisions and operate in fast paced and dynamic settings
• CAMS or equivalent AML certification/license, or ability to obtain certification within first 15 months of employment