The Financial Crimes Risk Officer VP is responsible for leading and executing the firm's first line Financial Crimes program for IM. The role will be responsible for executing the strategic direction of the Financial Crimes programs and performing governance and oversight responsibilities. This position will work closely with the business, the second- and third-line stakeholders to ensure the business is compliant with all relevant Financial Crimes standards, policies, procedures and applicable laws and regulations. The Financial Crimes Risk Officer - Intermediaries VP will: Implement the firm's Financial Crimes program requirements and controls, developing guidance and procedures for the first line. Provide subject matter expertise guidance and training to the first line, including managing risk appetite exception and escalations review. Ensure first line compliance with all relevant Financial Crimes regulations, standards, and policies. Lead Financial Crimes risks initiatives that arise for the first line in the IM businesses. Lead the remediation of control gaps and deficiencies identified from Annual Risk Assessments and resolution of investigations as recommended by second line. Develop metrics and report on Financial Crimes-related activities for the first line. Manage Financial Crimes risk through thematic coverage (latent & emerging risk), execution of heightened risk and high-risk portfolio reviews. Collaborate closely with critical internal stakeholders including Senior Business Leaders, Second Line, Technology and Internal Audit Assist in decision making over transactions and activities that may pose Financial Crimes risk to the first line Maintain the first line current on changes in Financial Crimes regulations and policies and update the respective firm's programs for first line accordingly. 8+ years of relevant experience with BSA/AML Regulations within the financial services industry, or at a financial services regulator (e.g., FINRA, Securities and Exchange Commission, Office of the Comptroller of the Currency, Federal Reserve Bank, etc.) Have an undergraduate degree in Business, Finance, or other related fields. Strong leadership qualities with the ability to manage teams and evidence a strong work ethic as well as a high degree of integrity. Implementation and execution of Financial Crimes Programs requirements Knowledge of Financial Crimes laws and regulations and familiarity with best practice first line procedures and processes Operate with confidence and comfort in high-paced and high-profile environments. Analyze, summarize and communicate effectively. Distill complex ideas and concepts into actionable items. Identify issues, investigate root causes and propose comprehensive solutions. Handle highly confidential information professionally and with appropriate discretion. Certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license is a plus. Knowledge of Financial Crimes regulatory requirements and expectations Working knowledge of MS Office (Microsoft Excel/PowerPoint/Word/Access) Strong time management and planning skills Strong interpersonal skills and ability to communicate effectively both verbally and in writing. Experience in supporting audit and regulatory inquiries and interactions. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. Expected base pay rates for the role will be between $140,000 and $200,000 per year at the commencement of employment. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
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