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Global AML Compliance Officer- Asset Management

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Company: Compliance Search Group

Location: Boston, MA

Date Posted: October 1, 2014

Source: TheLadders.com

Global AML Compliance Officer- Asset Management


A top-tier asset management firm, seeks a Global Anti-Money Laundering Officer who will oversee significant and strategic regulatory initiatives and on-going operations, including complex, regulatory-related processes, policies and procedures, etc., relating to global anti-money laundering ("AML") and global sanctions. 

They will ensure assigned staff and non-US Compliance Officers provide accurate, efficient and timely delivery of area's goals and objectives. The AML Officer will direct the review, monitoring and resolution of related compliance and regulatory issues as they pertain to the global AML and sanctions, and other special projects/areas as determined by senior management. 



Principal Responsibilities:
Monitor:


• Ensure that regulatory oversight of assigned matters and related systems is accurately and effectively provided, including monitoring company, competitive and regulatory developments for potential changes, drafting and revising new policies and procedures and overseeing the successful implementation of same, etc. 
• Oversee related audits and AML aspects ...

Global AML Compliance Officer- Asset Management


A top-tier asset management firm, seeks a Global Anti-Money Laundering Officer who will oversee significant and strategic regulatory initiatives and on-going operations, including complex, regulatory-related processes, policies and procedures, etc., relating to global anti-money laundering ("AML") and global sanctions. 

They will ensure assigned staff and non-US Compliance Officers provide accurate, efficient and timely delivery of area's goals and objectives. The AML Officer will direct the review, monitoring and resolution of related compliance and regulatory issues as they pertain to the global AML and sanctions, and other special projects/areas as determined by senior management. 



Principal Responsibilities:
Monitor:


• Ensure that regulatory oversight of assigned matters and related systems is accurately and effectively provided, including monitoring company, competitive and regulatory developments for potential changes, drafting and revising new policies and procedures and overseeing the successful implementation of same, etc. 
• Oversee related audits and AML aspects of examinations and ensure area is audit/exam ready by conducting periodic testing. Liaise with in-house attorneys as appropriate and maintain effective relationships with same. Respond or oversee responses to federal/state/offshore governmental regulators on assigned issues and matters. Make final recommendations on changes to policies, procedures and compliance manuals as well as standards and practices.

Advise:

• Oversee complex, strategic and significant regulatory initiatives and on-going operations relating to global AML and sanctions,. Conduct meetings with high level employees and bring issues to successful resolution. 
• Negotiate or oversee negotiations with internal and external parties, including firm-wide Money Laundering Representatives, Boards of Directors, senior management, including investment personnel, and others as necessary to satisfy the business objectives and regulatory requirements.

Train:

• Provide subject area expertise related to the training and direction provided to internal and external parties by assigned staff or by others in the Compliance Department. Assess implications of new rules and regulations related to assigned area, apprise others of developments, recommend, and, when appropriate, decide on courses of action. Ensure best practices are developed and implemented within scope of position.


Qualifications:

• Bachelors degree is required 
• 10+ years experience
• 2 + years of management experience
• Someone with asset management, mutual funds, investment management experience would be ideal. 
• Serve as a representative of the firm with regulators, at meetings, conferences, related industry events, etc. Appear before regulators as an advocate of the firm's position. May oversee regulatory examinations for Compliance Department, including direct participation with the regulators and liaising with other areas of the firm during examinations. 
• Significant project management skills and an excellent ability to analyze operational effectiveness are required. 
• Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in the firm's systems as required to perform the duties of this position. Must be able to conduct on-line research and to utilize applicable tools. 
• Must be able to work overtime as necessary to keep current with work. 
• Periodic travel, domestic and international, is required. 
• Proficiency in another language is a plus and an advanced degree is desirable.




THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. Governance, Credit, Accounting, Tax and Finance. We have an unparalleled track record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.


Resumes will be forwarded to Johanna Rodriguez - Johanna

 


Johanna ComplianceSearch.com

 

To view all our positions please visit

http://www.ComplianceJobs.com<... /> Also, please feel free to visit our informational blogs:

The Compliance Exchange 

http://www.CompliancEX.com<... Hedge Funds Exchange 

http://www.HedgeFundsx.com<... join The Compliance Exchange on LinkedIn please visit the following site http://www.linkedin.com... gid=865117

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