The FCRO - Intermediaries/Distribution VP is responsible for executing the firm's first line Financial Crimes program for IM. The role will be responsible for management / oversight of IM's intermediaries' population and ensuring their adherence with sound BSA/AML risk management practices. This position will work closely with Global Financial Crimes (GFC) stakeholders to ensure the business is compliant with all relevant Financial Crimes standards, policies, procedures and applicable laws and regulations. The FCRO - Intermediaries/Distribution VP will: Build and maintain strong relationships IM distribution leads who interact with intermediaries, including broker-dealers, financial advisors, and distribution platforms. Support IM business in conducting comprehensive due diligence on intermediaries to assess BSA/AML compliance risks. Develop and implement frameworks and controls to monitor intermediary performance and BSA/AML compliance adherence. Provide regular reporting to senior leadership, highlighting risks, opportunities, and performance trends. Work closely with internal teams, including sales, compliance, legal, and risk management, to address intermediary-related issues and opportunities. Support IM distribution leads in facilitating clear communication and effective problem-solving. Develop and enforce policies, procedures, and governance frameworks for managing intermediary relationships. Support IM distribution in the negotiation of distribution agreements, service-level agreements, and other contracts with financial intermediaries. Ensure contract terms are enforced and updated to reflect evolving business and regulatory requirements. Act as a point of escalation to resolve issues and support intermediaries in meeting compliance goals. Stay informed of industry trends, competitive dynamics, and regulatory changes impacting financial intermediaries and distributors. Provide strategic recommendations to enhance intermediary relationships and strengthen distribution networks. Drive initiatives to improve the efficiency and effectiveness of intermediary management processes. Collaborate with senior leadership to shape and execute the strategic vision for financial intermediary oversight. Leverage technology solutions and data analytics to enhance monitoring, reporting, and relationship management capabilities. Ensure timely and accurate delivery of intermediary performance metrics and compliance data to internal and external stakeholders. 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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