VP, Financial Crimes Compliance
Overview
We are seeking a proactive VP candidate to join our Financial Crimes Compliance (FCC) team. The successful candidate will play a significant role in supporting the FCC function, with a focus on investigating potentially fraudulent market behavior. This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility.
Essential Job Functions
• Manage and perform investigations of potential securities fraud or illegal behavior by clients or market counterparties that may involve money laundering or terrorist financing.
• Develop and complete Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement.
• Compile and prepare reports and related statistics concerning SAR filings, including sources and topics of SARs, with associated record-keeping.
• Understand and help manage end to end alert/investigation workflows and be able to liaise with the Head of Trade Surveillance and the Trade Surveillance team.
• Work with the Trade Surveillance team in managing and reviewing financial crime related alert/report scenarios to ensure proper coverage, parameters, and data.
Required Qualifications
• At least 5 years of experience in a regulatory or compliance setting of an institutional investment bank, broker-dealer, or banking organization.
• Experience reviewing and investigating potential instances of financial crime.
• Awareness of the SAR filing requirements and processes.
Preferred Qualifications (Not required)
• Legal training and/or direct regulatory experience
• Knowledge and experience of equity trading, with emphasis on low priced and foreign securities
• Experience reviewing and enhancing surveillance alerts/reports, as well as documenting such reviews with evidence, data, and analysis.
Knowledge, Skills and Abilities
• Superior oral and written communication skills
• Presentation skills
• Excellent attention to detail, time management and analytical skills
• Research skills involving legal and regulatory databases