We are seeking someone to join our team as a Global Financial Crimes: Client Risk Unit Vice President in Legal and Compliance to provide advisory support on client risk and due diligence matters, and partner across the Firm to support effective execution of the Financial Crimes Prevention Program.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firms management of legal, regulatory and franchise risk. This is a VP level position within the Global Financial Crimes: Client Risk Unit which is responsible for evaluating client relationships that pose the highest financial crimes risk, while also serving as a check and challenge over the first lines execution of enhanced due diligence.
In Global Financial Crimes, you will play a critical role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system. GFC coordinates day-to-day implementation of the Firm's financial crime prevention efforts. Including governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs.
If you are passionate about financial crimes prevention, seeking a rewarding and dynamic career, and focused on making a difference, then GFC might be the right team for you.
What you'll do in the role:
As a Client Risk Unit Manager in GFC, you will:
- Manage, recruit and maintain oversight of CRU Professionals
Serve as a point of escalation and provide advisory support, guidance, and effective challenge in connection to KYC Onboarding and EDD with respect to clients and counterparties. - Support key projects and initiatives related to assessing and mitigating the Firm's exposure to money laundering and other financial crimes
- Review enhanced due diligence for both new and existing higher risk clients including analyzing corporate structures and other documentation as necessary
- Analyze and escalate financial crimes negative news as necessary
- Determine and provide guidance on the appropriate client risk ranking
- Review of client accounts for potential matches to designated sanctions targets and prohibited persons lists
- Engage various third-party and internal databases to assist with due diligence searches as needed
- Develop an understanding of anti-money laundering regulations, policies, and procedures
- Provide guidance on policy and procedures to various stakeholders
- Conduct trainings to various stakeholders
- Liaise and coordinate within GFC and key stakeholders across the Firm to ensure appropriate execution of the Firm's Financial Crimes Prevention Program
What you'll bring to the role:
- Bachelor's degree or equivalent military experience
- 7+ years of relevant anti-money laundering and/or financial crimes experience, preferably at a large/complex financial institution, law firm or government/regulatory body
- 5+ years of relevant managerial experience
- Ability to understand and assess a wide variety of complex products, services and client types
- High motivated self-starter able to work independently while collaborating and coordinating as part of a global program
- Strong analytical skills with an ability to understand complex workflows and excellent attention to detail
- Excellent written and verbal communications skills, attention to detail and strong time management skills
- Ability to interact in a mature and professional manner with a variety of individuals
- Strong knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
- Excellent judgment, initiative, and adherence to deadlines
- Ability to interact with branch office and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
- Fluent in Spanish or Portuguese desired but not required
- Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment
Please note that the location listed for this role is temporary. The position’s work location will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date. In-Person interviews will be required for the role.
4 days in office required.
