Vice President-Financial Crimes
Green Key Resources - new york city, NY
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VP, Financial Crimes ComplianceOverviewWe are seeking a proactive VP candidate to join our Financial Crimes Compliance (FCC) team. The successful candidate will play a significant role in supporting the FCC function, with a focus on investigating potentially fraudulent market behavior. This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility.Essential Job Functions• Manage and perform investigations of potential securities fraud or illegal behavior by clients or market counterparties that may involve money laundering or terrorist financing.• Develop and complete Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators andor law enforcement. • Compile and prepare reports and related statistics concerning SAR filings, including sources and topics of SARs, with associated record-keeping.• Understand and help manage end to end alertinvestigation workflows and be able to liaise with the Head of Trade Surveillance and the Trade Surveillance team.• Work with the Trade Surveillance team in managing and reviewing financial crime related alertreport scenarios to ensure proper coverage, parameters, and data. Required Qualifications• At least 5 years of experience in a regulatory or compliance setting of an institutional investment bank, broker-dealer, or banking organization. • Experience reviewing and investigating potential instances of financial crime.• Awareness of the SAR filing requirements and processes.Preferred Qualifications (Not required)• Legal training andor direct regulatory experience • Knowledge and experience of equity trading, with emphasis on low priced and foreign securities• Experience reviewing and enhancing surveillance alertsreports, as well as documenting such reviews with evidence, data, and analysis. Knowledge, Skills and Abilities• Superior oral and written communication skills• Presentation skills• Excellent attention to detail, time management and analytical skills • Research skills involving legal and regulatory databases
Created: 2024-10-21