Job Description - Head of AML Financial Intelligence Unit (FIU)
Head of AML Financial Intelligence Unit
The Head of FIU should have experience directing and operating a FIU in a regulatory environment, as well as identifying efficiencies in existing operational processes while also building out segments of the AML program. The Head of FIU will manage several investigative/intelligence teams and report directly to the firm's Chief AML Officer. The Head of FIU will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, and industry AML laws and regulations.
Manage and oversee AML FIU Operations and make suggestions for team, infrastructure, and processes.
Experience developing typologies, trends, analytical assessments, and heat maps.
Perform supervisory activities including assessment of staffing models, training, development, and performance assessments.
Maintain oversight for the 314(a), 314(b), and regulatory inquiries processes.
Create and/or review policy and procedures for various functions within the FIU.
Coordinate with cross-functional groups to provide resolution for escalations and complex scenarios.
Establish and maintain a robust inventory of controls, operational metrics, and reporting.
All other duties or responsibilities assigned.
7+ years of experience within AML/Fraud compliance and Financial Services operations, preferably at a large broker or financial institution with an international customer base.
5+ years of management experience.
Certified Anti-Money Laundering Specialist (CAMS) or similar certification.
Knowledge of List Screening Operations, Transaction Monitoring or Trade Surveillance Operations, Negative Media dispositioning.
Outstanding leadership, communication, analytical, and project management skills.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
Bachelor's degree or military experience.
Willingness and ability to obtain financial registration exams promptly.
Series 7 / 24 certifications are a plus.
Business Process Management or similar certifications are a plus.