Head Of Financial Crimes Compliance, Capital Markets – ED

  • New York Ny
  • 02/04/2023
Job expired!

Office Status: Hybrid

  • Provide direct management of the CM BSA/AML and Sanctions programs.
  • Partner with NYB centralized team, which provides operational support for the BSA/AML program, to enhance controls and align with the strategic FCC/BSA program.
  • Implement the FCC target operating model and roadmap for Nikko and CM.
  • Contribute to an expanded target operating model for FCC to include Anti-Bribery and Corruption and Anti-Fraud.
  • Develop local procedures which align to the AD-level FCC policies; establish local controls to mitigate FCC risk.
  • Develop strategic action plans to remediate control gaps/failures for FCC-related regulatory, audit, and testing findings.
  • Implement AD-level and local KRIs and tolerances to feed into governance reporting.
  • Oversee CM FCC-related governance meetings; own/draft charters, presentations, minutes, and related documentation.
  • Oversee staffing needs analysis and budget submission for FCC budgets for Nikko and CM FCC programs.
  • Oversee technology centralization initiatives as AML programs adopt NY branch strategic systems.
  • Implement AD-level risk assessment methodology and reports.
  • Provide advice and oversight for Broker Dealer and Swap Dealer FCC Compliance with US securities laws and regulation, and act as a contact for CM regulators.