Head of AML Investigations (Broker-Dealer) Head of AML Investigations (Broker-Dealer) …

Selby Jennings Buyside
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
USD150000 - USD190000 per year
Selby Jennings Buyside
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
USD150000 - USD190000 per year
Selby Jennings Buyside
A rapidly growing, internationally focused Broker-Dealer is looking for a talented Head of AML Investigations to help strengthen their Compliance program. The Head of FIU will lead Intelligence and Investigations teams to identify issues in the current AML program based upon flagged results, investigate documented cases for potential AML violations, and propose effective solutions to effectively manage Financial Crimes activity going forward.

Title: Head of AML Investigations (Broker-Dealer)

Company Summary: A rapidly growing, internationally focused Broker-Dealer is looking for a talented Head of AML Investigations to help strengthen their Compliance program. The Head of FIU will lead Intelligence and Investigations teams to identify issues in the current AML program based upon flagged results, investigate documented cases for potential AML violations, and propose effective solutions to effectively manage Financial Crimes activity going forward.

The Head of AML Investigations will be responsible for:

  • Documentation and investigation of potential AML and other Financial Crimes violations across the Broker-Dealer's US operations
  • Develop heat maps and analytical models to inform general Compliance Risk assessments
  • Maintain integrity of the regulatory inquiries process and liaise with regulators per the investigations program
  • Creation, updating, and implementation of Policies and Procedures

The Head of AML Financial Investigations should have the following qualifications:

  • At least 7 Years of experience in Broker-Dealer Compliance, ideally managing teams through financial crimes investigations
  • CAMS certification
  • Series 7 and/or 24 preferred

If you are interested in the Head of AML Investigations role, then please don't wait to apply.

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