Capital Markets Compliance Officer - VP
Location: New York New York
Description: Drum Associates is at present looking to employ Capital Markets Compliance Officer - VP right now, this job will be placed in New York. More details about this job opportunity please give attention to these descriptions. Our client, a major international bank, is currently seeking a Capital Markets Compliance Officer - VP to join their team in Manhattan. The incumbent will be responsible for creating and implementing the company’s BSA/AML compliance functions and staying up-to-date with new compliance laws and regulations. The ideal candidates must have knowledge of Capital Markets/Securities and brokerage products/business lines.
Major Responsibilities:
Develop, integrate and maintain the bank’s compliance function
Manage the AML/KYC compliance function by implementing regulations and conducting AML testing/monitoring
Ensure that the bank maintains a sound internal compliance structure, involving reporting and suspicious activity monitoring
Compose compliance-related written material to communicate information to senior management and staff
Review and update compliance policies/ procedures and address regulatory audit/exam requests
Develop and conduct compliance trainings programs (i.e. AML, OFAC)
Respond to front office inquiries and new account openings matters (CIP,KYC )
Requirements
5+ years experience in a capital markets compliance function, having profound knowledge of relevant laws and regulations including USA Patriot Act, Bank Secrecy Act and/or AML
Comprehensive knowledge of regulations issued by US Securities, Banking, Derivatives and Futures regulators
Extensive experience partnering with Banking and Securities regulators
Strong project/time management and communication (written and oral) skills
Proficiency with MS Suite (Word, Excel & PowerPoint)
Bachelor’s degree required
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If you were eligible to this job, please email us your resume, with salary requirements and a resume to Drum Associates.
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This job starts available on: Tue, 28 Aug 2012 06:39:00 GMT