Are you someone who has a proclivity for story-telling with data and is strategic, analytical and energetic? Do you enjoy building relationships, working with data, solving problems, ensuring controls and driving results in a fast-paced environment where collaboration & strategic thinking are the norm?
As an AML / KYC Officer III, Vice President in the AML/KYC Controls team, you will provide oversight and guidance so that the business delivers Anti-Money Laundering (AML) and Know-Your-Customer (KYC) strategies to assure our product and our customer base are fully compliant with Bank Secrecy Act (BSA), PATRIOT Act and FINRA requirements. You will be responsible for Anti Money Laundering (AML) strategic initiatives/projects to meet regulatory obligations which includes conducting research, analysis and providing qualitative/quantitative insights to lead and direct the projects and initiatives to meet our Global AML/KYC Standards. In this role, you will align with the Firm's AML/KYC initiatives which will require coordination with Project Teams, Compliance, Technology, Training, Communications, Legal, AML Operations and the Business. You will also work closely with various groups within Asset & Wealth Management, such as the AML/KYC Ops, Business Development and Relationship Management, and Operational teams to deliver ongoing requirements for capturing, reporting and monitoring compliance with regulatory standards.
For this role, candidates must be able to physically work in either our Chicago, IL, Columbus, OH, or Plano, TX offices 5 days a week. The specific schedule will be determined and communicated by direct management.
Job Responsibilities:
Lead, manage and contribute to best-in-class AML/KYC programs/projects/initiatives from end to end including design, develop, implement, review and reporting, addressing AML/KYC risks and controls, and communicating to Senior/Executive AML ManagementProvide research and analytical recommendations to facilitate the creation of Business and/or Technology Requirement DocumentsRecommend and implement strategies and solutions for AML/KYC initiatives to ManagementPrepares reports and presentations for assigned projects to senior management. Provide key direction and leadership to drive the implementation of key change management activities and ongoing support, partnering across lines of businesses as well as coordination with Compliance, Controls partners, Legal and GFCC, etc.Positively and creatively influence change and champion mission critical change initiatives; prepare and help others to anticipate and manage through changeCoordinate and respond to internal audit and regulatory exams, while ensuring consistency across lines of businessReview and analyze critical issues/errors, assessing the business risk and impact, and to facilitate proper recommendation & escalation to senior managementEstablish and maintain the AML/KYC risk management and control framework to ensure consistent application of best practices and control standards across lines of business.Resolves high-level conflicts by making broad decisions, or negotiating with affected senior managementHas complete ownership and responsibility for project timelines, deliverables. Decisions are both tactical and strategic in natureResponsible for a broad scope of decision-making including complex decisions. Work has a sizeable, major impact on the corporation/lines of businessChallenge and provide alternative solutions to issues, projects, or initiatives
Required qualifications, capabilities and skills:
Minimum of 7 years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or AML/KYC or equivalent subject matter expertise in a relevant business related function/operationProficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) required and data analytics using Excel, AccessBusiness knowledge - ability to understand the business / knowledge of regulation surrounding businessCommunication/presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner Networking – strong interpersonal skills; strong collaboration and relationship building skills Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environmentDecision Making/Judgement - moderate level of independent decision making using sound judgement with emphasis on detail and follow-upProblem solving / Analytical skills - solid critical thinking, attention to detail and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions Implementation and Change Management skills and understanding root cause / identifying control breaks.Analyze metrics for emerging risk and developing timely and sustainable solutionsProcess analysis / design acumen – ability to understand a process and associated risk to inform control design Implementation and Change Management skillsAbility to make subjective and informed decisions based upon output, influence stakeholders and justify decision making
Preferred qualifications, capabilities and skills:
Bachelor’s degree preferred
Applicants must be authorized to work for any employer in the U.S. We are not able to provide immigration sponsorship or take over sponsorship of an employment Visa at this time.
Final Job Grade level and corporate title will be determined at time of offer and may differ from this posting.
We are unable to provide relocation assistance for this role at this time.