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Head of AML Financial Intelligence Unit (FIU)

  • Location: Chicago, IL
  • Job Type: Direct Placement
  • Ref No: 19-07058
  • Date: December 03, 2019
  • Job title:
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Job Description - Head of AML Financial Intelligence Unit (FIU)

Head of AML Financial Intelligence Unit





Requirements





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.



Responsibilities

  • 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.



Qualification

  • 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.



Preferred Qualifications

  • Series 7 / 24 certifications are a plus.
  • Business Process Management or similar certifications are a plus.




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