Director Advisory Oversight SAR Reporting

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Job Overview

Position Schedule: Full-Time

Job Summary:
The Financial Crimes Director will serve as the senior leader responsible for the Advisory, Oversight, and Suspicious Activity Reporting ("SARs") team. He/she will be responsible to develop, implement and administer the internal controls in support of the Firm's Compliance with BSA/AML policies. This role requires comprehensive knowledge and skills in all areas of BSA/AML compliance and the ability to independently recognize, develop, and implement effective compliance/risk-related solutions for the program. He/she will engage and partner with stakeholders from across the firm to support the program and provide advice on complex BSA/AML issues to Legal, Compliance, and Risk areas and the AML Operating Committee Leadership. The individual will serve in this capacity for the US & Canadian Broker Dealer.

• Responsible for leading multiple departments in support of BSA/AML compliance strategies and objectives: Financial Crimes SAR Reporting, Compliance and Risk Management and Quality Assurance Departments.
• Leadership responsibilities for the SAR reporting team; including develop standardized SAR filing procedures and control framework.
• Champions the ongoing maturation of the Governance, Oversight & Reporting Program.
• Ability to take an enterprise view of Financial Crimes trends and activity and develop potential mitigants. Recommend AML strategy based on data (SAR filing data, issues management, external trends/activity, etc).
• Receive escalations pertaining to potentially suspicious activity or other matters of concern from principals and associates, while further reviewing these matters and ensuring proper regulatory filings are made - including responses to FinCEN information requests and the filing of suspicious activity reports ("SARs")
• Establish procedures and controls that reinforce compliance with the Firm's AML policies
• Interface on behalf of the Firm with regulatory and law enforcement authorities on BSA/AML matters
• Provide reporting to the Chief AML Officer and AML Operating Committee on the operational effectiveness, trends and risks of the Firm's BSA/AML program
• Monitoring the operations and internal controls designed to achieve compliance with EDJ's Investigations and SAR Filing Policies
• Maintaining an understanding of applicable legal and regulatory developments
• Ensuring proper filings or regulatory reports

• Bachelor's degree
• ACAMS Desired

• Series 7 - General Securities Representative (to be attained within 120 days of hire)

• 10 or more years of anti-money laundering and financial crimes compliance experience at a financial services institution. Direct experience leading a case investigations and SAR filing team. 7 years of leadership experience including significant people responsibilities and delivering results through others.