• Reviews and follows up on documentation and information to meet the Firm's KYC/AML compliance regulatory requirements 
• Identifies and addresses non-compliance and risk assessment issues with management and partners 
• Updates documentation and databases to keep current with compliance status of clients, the department and Firm's KYC/AML guidelines and procedures, as well as new regulations and requirements
• Serves as resource regarding the KYC/AML compliance process and procedures
• Performs new client risk assessments to include review and analysis of new clients for AML risk, financial viability with respect to bill payment, reputational risk, bankruptcy, and criminal records 
• Performs prospective client analysis, including enhanced due diligence, synthesizes findings and reports to management, partners and committee members for effective assessment of viability and risk level of prospective client
• Identifies and enhances approaches and streamlines workflow to accomplish departmental goals. Researches relationships between the Firm's new and existing clients for parent/subsidiary relationships to facilitate accurate and current reporting 
• Provides guidance and training to partners and staff regarding the Firm's KYC/AML procedures. 
• Updates departmental and Firm documentation relating to the KYC/AML compliance process and procedures
• Handles multiple complex client analysis projects
• Understands and responds to inquiries from partners, other attorneys as well as staff and demonstrates this understanding through the use of effective communication
• Actively seeks to enhance knowledge of all Client Accounting procedures and processes

• Bachelor’s degree is a must; preferably in Finance, Accounting, Business or related field 
• 4-8 years’ of KYC/AML/compliance/risk management experience
• Demonstrated experience with investigating backgrounds and reputations of individuals and companies as part of client on-boarding due diligence
• Knowledge of Customer Due Diligence (CDD) and Customer Identification Program (CIP) programs
• Flexibility to work overtime
• Proficiency with LexisNexis, Westlaw, Bloomberg, SharePoint, EDGAR, Dun & Bradstreet, Microsoft Word, Excel, PowerPoint and Outlook
• Exercises independent judgment when approaching problems and making decisions in pursuit of departmental goals

Please leave "Compliance Coordinator Application" in the subject line.
Resume link for this position: E-mail
 

• OFAC Checking, FinCEN Checking, Required “Know Your Customer” due diligence 
• Performs Politically Exposed Person (PEP) checks on Related Parties of the Customer
• Conducts Section 311 checks, sending any required Section 311 notices to customers, counterparties, and sub-custodians 
• Complete and update Custody-Customer Profile/Regulatory Compliance Checklists for  new or existing Customers; Verify accuracy of documentation for Customer Identification Program 
• Verify that all account opening regulatory requirements are satisfied
• Review daily reports on the variances from established threshold amounts concerning sources of all new custodial assets
• Review daily reports on the activities and holdings in Medium High,High & designated Medium Risk 
• Checks all banks, counterparties, brokers, SWIFT messages, securities, custody accounts, subaccounts, third party advisers, vendors and employees against OFAC/FinCEN list. 
• Review for accuracy and update BSA Risk Matrices and the Custody Customer Profiles/ Regulatory Compliance Checklists; Test newly generated “KYC” reports developed by IT
• Assist IT with related technology Compliance system upgrade projects as needed
• Reviews BSA Questionnaires for Foreign Financial Institution Custodial Customers, and BSA Questionnaires for Sub-custodians, as required
• Participate in changes of existing thresholds, monthly
• Reconcile BSA Compliance Officer’s data with Custody Administration Dept. monthly  Coordinates with BPP obtaining completed BSA/AML Questionnaires from FFI customers 
• Verify accuracy of documentation regarding Information from Third Party Investment Managers/Advisers with Authority to Instruct concerning custodial accounts 
• Works closely with members of the Legal Department, and the Internal Auditor to continually work to improve the Bank’s existing program 
• Works closely with all relevant departments of the Bank to ensure compliance by those departments with their regulatory BSA/AML responsibilities, including in connection with account opening and monitoring. 
• Stays current with legal and regulatory changes as they relate to BSA/AML requirements.

• 5-7 years Bank Compliance experience in BSA/AML laws and regulations (FinCen, OFAC, KYC)
• Excellent communication and interpersonal skills
• Excellent Excel / Access/ Word skills 

 

Manage and grow the operational compliance risk management program for firm’s Global Markets. 

Support growth in the businesses servicing clients through the New York office. 

Enhance operational risk management for global.

Ensure effective identification, measurement, control and management of compliance risk.

Ensure that the compliance program satisfies applicable legal, regulatory and internal requirements. 

Responsible for the development, implementation, review and revision of compliance risk management programs, procedures and systems for the branch.

Monitor applicable regulatory changes and provide effective change management to address such changes and keeps abreast of new products, technologies and applications as well as their implications for assigned area.

Independently manage compliance risk management projects.

Act as a liaison with internal control groups on compliance-related issues in area of responsibility.

• Bachelor's degree in business or equivalent.
• Master's degree preferred.
• Have extensive experience in compliance, risk management and/or internal control in a financial services environment.
• Working knowledge of capital markets; knowledge of electronic trading a plus.
• Proven interpersonal, communication, project management and leadership skills.
• Demonstrated problem solving, decision-making and negotiation skills.
• Team player.
• Ability to influence. 
• Ability to build consensus.
• Ability to develop and maintain business relationships within the business unit and across the corporation.

Individual will provide expertise and functional support to help drive development, maintenance and full integration of compliance programs and supportive culture for all divisions and locations of the bank. 

The incumbent will be the main point of contact for all regulatory bodies located in this jurisdiction.  Individual will develop, implement, and monitor all aspects of the program to ensure full compliance with all legal and regulatory requirements.  Will be responsible for ensuring Conduct of Business rules are being followed. 

Liaise with Internal Audit in order to identify any issues and will ensure appropriate action plans are implemented to address such issues. 

• A deep understanding and experience with banking and broker/dealer business practices. 
• Knowledge of Banking regulations. Be thoroughly familiar with broker-dealer requirements. This includes all regulatory regulations, (e-g- UK FSA, USA NASD or Singapore MAS), and requirements pertinent to the countries. 
• Ability to work with business and compliance leadership to develop, maintain and enhance compliance programs. 
• Must be able to identify, assess and advise upon regulatory needs and risks relation to marketing, delivery and development of bank and broker-dealer related products. 
• Provide prompt and appropriate guidance to business leaders with respect to issues including sales, marketing, product development and operations. 
• The key point of contact for regulators and must be experienced in dealing and managing all regulatory bodies on an ongoing basis. Must be capable of ensuring open regulatory inquiries are dealt with in a prompt manner. 
• The incumbent must develop and continually enhance working knowledge of company policy, applicable regulation as well as industry trends.
• Should have an in-depth knowledge of anti-money laundering compliance requirements for  the business, including all aspects of terrorist financing; provide guidance on KYC and monitoring issues; implement required anti-terrorist measures; develop expertise in data protection / confidentiality issues and anti-corruption initiatives. 
• Develop and maintain an in-depth, current understanding of Bank products and activities in respect to the applicability of legal / regulatory requirements.  Carry out investigations or  ad hoc reviews at the request of senior management.
• Strong relationship and leadership skills, with proven ability to add new subject areas. 
• Must be able to work in a global, matrix environment that spans multiple legal entities and teams. 
• Must be a self-starter with good communication and relationship skills. 

• Administer and execute the Regulation 9 Review program as well as other Discretionary Asset Management Compliance Related Functions.
• Attend Investment Committee meetings 
• Oversee the Junior Compliance Analyst and assist in the execution of the Compliance Monitoring Program in accordance with the established schedules for banking reviews. Assist in the periodic review and update compliance related policies and procedures to ensure that policies are adequate and in compliance with applicable U.S. laws and regulations.
• Assist in the execution of the Compliance Training Programs to address all policies and procedures, as well as all applicable U.S. laws and regulations.  Compile and maintain training materials and conduct training sessions for all new and existing employees.
• Assist with the coordination of all regulatory agency examinations, other external and internal audits and Head Office Requests such as KRIs and Quarterly Compliance Certificate Information to ensure that compliance issues are adequately addressed in connection with such exams or audits.
• Assist with all compliance and risk management related issues that may arise from time to time from all departments within Global Private Banking-USA. 
• Research and respond to compliance-related questions from management, using internal and/or external legal counsel, compliance library and regulatory reference materials, regulatory agencies and professional compliance associates.
• Assist in the review of all advertisements, brochures, lobby notices, signs and other promotional materials prior to printing to ensure their compliance with regulations, and ensure that all obsolete and non-complying promotional materials are promptly destroyed.
• Review new client and existing relationships, as well as, special Letter of Credit transactions for KYC and/or EDD for signoff purposes.  Investigate, process and maintain a log of Suspicious Activity Reports as necessary ensuring that information is disseminated to the appropriate authorities in an efficient manner.
• Investigate, process and maintain a file for Fraud Attempts ensuring that the information is disseminated to appropriate staff and/or authorities in an efficient manner.

1. Responsible for the review and appraisal of the soundness and adequacy of accounting, financial, operating and administrative controls and procedures within the TV broadcasting and motion picture group 
2. Responsible for a detailed audit of P-card accounts to ensure compliance with Company policy, IRS regulations, and SOX
3. Assist VP, Finance in reviewing and approving invoices and ensuring compliance with p-card, T&E and AP policies.
4. Responsible for overseeing compliance with purchasing policy and capital commitments policy.
5. Responsible for reviewing management reports specific to travel and expense.
6. Monitor policies and procedures currently in place and recommend remedial action where required.
7. Correspond with employees and/or department heads in matters relating to compliance issues or policy exceptions.
8. Responsible for completing special requests from management pertaining to control and compliance matters

Related responsibilities:

Serve as liaison between Division and Corporate, internal/external auditors.  Minimal travel.
 

College degree
CPA
5 to 8 years related business experience

Other:

Excellent verbal and written communication skills
Computer skills (Microsoft excel, Outlook, Word, general application skills)
Excellent organizational skills
Ability to work with a varied audience:  management, finance, operational and union personnel. 

Administer the annual Compliance Initiatives Program for the specified business units; coordinate with the Legal and Audit division and respective line management to identify legal and regulatory issues and requirements.  Assists business units to establish and maintain departmental procedures, oversees and participates in on-going staff training regarding compliance; work with business units to identify and address issues in new products and services and changes to exiting ones.  Coordinate with the Credit Risk, market Risk and Operational Risk Management divisions and participate in Business Infrastructure.  Coordinate regulatory examinations, serving as point person for examinations and responses.  Monitor business unit compliance activities by performing independent assessments of business practices and reviewing MIS reports generated/prepared by the business unit.  Report on compliance issues to business management and recommend additional or enhanced procedures, training and/or monitoring, and sharing best practices among the Global Compliance division. 

Law Degree is preferred, but not required!

Excellent writing and interpersonal skills required.
 

Specific responsibilities include working with senior management to develop a business unit compliance program, represent compliance at various committees, identify laws and regulations applicable to the business lines, review compliance policies, procedures and monitoring systems, develop compliance training plan for key regulations, develop compliance monitoring plan and perform periodic testing of targeted regulations, identify changes to laws and regulations and support enhancement of related policy, procedures and systems, interface with bank regulators and auditors including follow-up on findings, and review new products, projects and business initiatives for regulatory compliance.

One of the more important responsibilities includes oversight and review of the business areas’ AML/BSA/KYC policies, procedures and intelligent transaction monitoring systems. 

• Manage the AML and BSA surveillance functions for the institution; directly supervise AML Compliance employees who perform AML and BSA surveillance; indirect supervision of business groups performing surveillance.
• Evaluate all surveillance parameters throughout the bank, broker-dealer and asset management subsidiaries, and make and/or recommend surveillance changes where appropriate.
• Extensive work with the bank's surveillance system, including revising peer groups, developing new parameters, developing metrics of the effectiveness of surveillance system parameters, etc.
• Review various surveillance options for broker-dealer subsidiaries that do not use the Bank's surveillance system. 
• Review and coordinate all AML surveillance procedures; make changes to ensure consistency of surveillance procedures from receiving the Bank's surveillance system alerts through the drafting of SARs. 
• Review, amend, and approve all Retail branch procedures and changes therein regarding large currency transactions, cash sale of monetary instruments, suspicious activity reporting and all other BSA/KYC/AML/USAPA- related information
• Supervise the firm’s CTR filing process as well as surveillance of cash deposits and withdrawals. 
• Review, amend/draft SARs and refer for AMLOC review.
• Administrative: review/sign off on T&Es; time sheets; billing; phone usage review; employee issues; prepare annual budget numbers from AML surveillance group.
• Review of Retail branch audit results and refer to BSA Compliance for follow up action where appropriate
• Monitor compliance with all BSA reporting and record keeping requirements
• Liaison with regulators regarding BSA/KYC/AML matters
• Regular interaction with Legal involving SAR filings or AMLOC referrals
• Coordinate response and action to be taken re. Fed and internal Audit examinations of surveillance issues. 
• Coordinate with HR on employee issues and prepare annual employee performance appraisals
• Supervise cash letter surveillance, including revising criteria for surveillance, inquiries to the Relationship Managers, and drafting SARs where appropriate. 

Specific responsibilities include: 

Familiarity with current regulatory initiatives and ability to map them to the businesses of the Bank’s broker dealers

Facility with monitoring and review techniques to ensure that high risk regulatory issues are properly addressed by broker dealers

Ability to materially assist in creating uniform approaches amongst broker dealers to core compliance issues, such as anti-money laundering, trade reporting, market manipulation, supervisory programs, registration and conflicts identification and resolution

Judgment in tracking responses to internal and external audit compliance findings, and assessing completeness of remedies

Ability to coordinate parallel projects at different broker dealers

Flexibility to shift into short term intensive tasks to address regulatory gaps

Acquaintance with core bank regulatory issues that affect affiliates, such as anti-tying, affiliate credit transactions and the obligations of agents

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Please use the supplied link in each open position for resume submission.

Employers:
Please contact Helene Crocitto by phone to initiate or inquire about filling your open positions. Thank you.

Phone: 212-599-0909 Ext. 213
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