Director, Investment Advisory
New York, NY
Full Time
Manager/Supervisor
Responsibilities:
Requirements:
Minimum Salary: $120,000 | Maximum Salary: $150,000
- Manage and lead an engagement team (gap assessment, policy and procedure assessment and enhancement, risk assessment, strategic alignment, look-backs, remediation, process improvement and tuning and segmentation).
- Lead discussions with the clients, partners, or regulators in a professional manner, including being prepared to offer insightful solutions to complex problems and client needs.
- Manage team tasks related to all key deliverables including, but not limited to, AML/CFT Program evaluations, gap analysis, risk assessments, policies, procedures, internal controls and training, and final reports for engagements related to Correspondent/Retail/Private/Pre-Paid/Banking, Know Your Customer, Office of Foreign Assets Control (OFAC), USA PATRIOT Act, and all other laws, regulations, and requirements designed to establish processes to detect and prevent money laundering, fraud and terrorism including for new Investment Advisor AML/CFT program regulations.
- Ensure completion of tasks/casework and that the team is meeting clearly defined productivity and quality assurance standards.
- Provide training and guidance to assist team members in improving necessary skills for engagement or client matters.
- Conduct professional feedback sessions with team members.
- Solve complex problems and consult appropriately with stakeholders.
- Manage engagements in accordance with the budget and to meet deadlines.
- Meet utilization targets.
- 360-degree collaboration with colleagues, team members, leadership.
- Identify opportunities/leads for potential client work; develop and foster client relationships.
- Serve as the AML subject matter expert (SME) in collaboration with the sales department, guiding the identification of prospects.
- Provide expertise in AML risk assessments during business development, advising the sales team on potential risks, supporting RFP responses, and recommending compliance strategies to qualify leads.
- Assist the sales team in closing business by ensuring due diligence is performed and offering expert recommendations to streamline compliance in client onboarding.
- Occasional travel required.
- Other duties as assigned.
Requirements:
- Four-year college degree or international equivalent. ACAMS Certification (highly preferred).
- 7-10 Years of related AML experience; 3-5 managerial experience.
- Business development and client services experience highly preferred.
- Ability to work independently in a fast-paced environment.
- Strong analytical and decision making/critical thinking skills.
- Must possess strong writing skills in order to write clear and concise reports and communicate with management.
- Ability to use Microsoft Office applications (pivot tables, charts, PowerPoint, etc.)
Minimum Salary: $120,000 | Maximum Salary: $150,000
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