Responsibilities include but are not limited the following:Managerial Responsibilities
- Hire, develop, promote and retain high quality team members to support a sustainable and continuously evolving program.
- Motivate, coach and develop employees, identifying training needs to consistently perform high-quality work.
- Guide the team on the appropriate strategy to resolve escalated investigations and approve AML investigation resolutions.
- Communicate clear execution plans to accelerate changes; keep teams optimistic and forward-moving in times of uncertainty.
- Act as an escalation and advisory point for transaction monitoring related alerts and processes including participation in governance meetings with respective business areas and offshore Hubs and ensure timely escalation on issues and risks.
- Ongoing management of key processes which include close monitoring of SLA timeline, review of capacity, resource allocation, etc.
- Identify, solution and/or escalate any risks to core KPIs and SLA management, quality of case investigations and SAR filings.
- Identify areas where process improvements can be made. Where appropriate, develop and implement the agreed upon process improvements.
- Work with critical stakeholders to identify need for procedural enhancements and training development to ensure high quality of case investigation / SAR reporting and understanding of relevant AML law and regulations.
- Monitor workflow volume trends and team productivity. Ensure reports are produced for senior management on trends and issues.
- Evaluate the quality of workflow referrals and where necessary, work with the referring area to improve the quality / timeliness of the referrals.
- Demonstrate teamwork, creativity and shared responsibility to meet financial goals while assuring the regulatory and business commitments are met.
Investigations & Reporting
- Undertake capacity planning and recommend budget and resource allocations to the AMLCO.
- Work closely with various regional teams including the FIU Governance & Oversight team
- Ensure appropriate involvement and all deliverables are provided in a timely manner for all regulatory exams, internal audits, and Compliance Assurance reviews.
- Engage with Compliance Assurance, Internal Auditors and regulators as appropriate
Education level and/or relevant experience(s)Required:
- Responsible for performing case reviews and/or overseeing the AML investigations within their respective country.
- Ensuring that all FIU Investigative Unit duties are conducted effectively and in a manner consistent with this Program and the relevant procedures.
- Responsible for escalating potentially significant issues as appropriate to the appropriate channels. In some countries, In-Country FIU personnel may be tasked with overseeing FIU designees when they are performing case reviews and/or investigations.
- Providing oversight of AML case reviews and investigations performed by FIU designees/personnel.
- Developing and providing guidance on how to complete risk analysis to enhance AML reviews and investigations using a standardized approach.
- Conducting visits to Regional FIU Investigative Unit supported countries to assess, evaluate, supervise, and affirm the FIU Investigative Unit's objectives are achieved to optimize and strengthen the money laundering detection process, as requested by the Regional FIU Governance & Oversight Head or designee on an as-needed basis.
- Recommending filing of regulatory reports, as appropriate.
- Conducting onsite or remote reviews to assess FIU investigations processes.
- Performing additional duties of the FIU, as required.
- Proactively highlighting identified risks by using any source of intelligence available to the FIU Investigative Unit.
- Consulting and collaborating with the business, ACRM, and other compliance partners, as required.
- Identifying and escalating potential risks to the Regional FIU Governance & Oversight Head, as required.
- Being familiar with this Program, as well as the Global Anti-Money Laundering Policy, Global AML Investigations Standard, and relevant case review and/or investigations procedures.
- Being familiar with any local or regional process manuals or similar documents.
- The ideal candidate should have a minimum of 10 years of related experience in Anti-Money Laundering Compliance or a similar compliance or risk control-related function in the financial service industry.
- Proven experience in leading high performing teams
- Experience in conducting AML investigations, including undertaking customer transaction reviews and open source research, with the aim of identifying potentially suspicious activity; conducting Know Your Customer (KYC) related tasks, particularly on high risk customers; and Preparing/reviewing and/or filing Suspicious Transaction Reports (STRs).
- Bachelor's Degree or relevant equivalent experience or professional qualification. Professional qualification may include ACAMS Certified Anti-Money Laundering Specialist ("CAMS") and International Compliance Association (ICA) certification in Financial Crime Prevention.
Job Family Group:
- Credibility as a subject matter expert and experience of dealing with issues that have a high impact at all levels of the organization;
- Experience of working with key country level regulators and industry associations;
- Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes;
- An ability to influence senior business leaders on all AML risk-related matters affecting the business. The individual should have the ability to independently challenge, when needed, while at the same time being supportive and solution-based and not being perceived as obstructive;
- An ability to be "hands on" and "in the trenches" with the direct team, while also bringing a sense of strategic vision and a global sensibility to the function;
- Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to effectively communicate the strategic vision to various stakeholder groups;
- Effective negotiation skills, a proactive and "no surprises" approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management and influencing skills are essential;
Compliance and ControlJob Family:
AML Compliance & Risk Mgmt Time Type:
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