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AML Global Financial Intelligence Unit - Compliance AVP

Company: State Street
Location: Quincy
Posted on: January 9, 2021

Job Description:

Responsibilities :

  • Formulating strategy for investigations with an understanding of bonds, mutual funds, stocks, options, hedge funds, and income trusts etc...
  • Act as subject matter expert to provide specialist advice, guidance and direction to team members on Securities, Broker Dealer money laundering, market abuse, other crime related issues
  • Developing investigation reports, recommending courses of action
  • Investigations relating to breaches of securities laws, governance and compliance matters
  • Investigations into improper or unauthorized trading and market manipulation
  • Manage assigned investigations ensuring timely and prompt recommendations (SAR/No SAR, escalation recommendations such as Account Closure) and reports are made to management.
  • Coordinate in-depth research and documentation when unusual activity is detected
  • Provide recommendations to senior management on actions/strategies to mitigate money laundering, market abuse, or other crimes identified.
  • Conducting effective presentations to various groups, both large and small Analytical (problem solving) skills with good objectivity and discretion
  • Perform QA on the triage function - multiple staff from India and Boston Qualifications Education/ Certifications:
  • Bachelor's degree or equivalent with focus in business, accounting, finance, or economics required.
  • ACAMS Certification Preferred Skills and Experience:
  • Understands AML typologies around investments and ability to uncover risk within the bank
  • Ability to review the various systems utilizing data analytics techniques
  • Securities Courses - benefit
  • Knowledge of the securities industry and operations.
  • Strong understanding of investment products such as: bonds, mutual funds, stocks, options, hedge funds, and income trusts etc...
  • 10 > years of relevant business experience in both compliance and securities
  • Analytical (problem solving) skills with good objectivity and discretion
  • Analyze AML Security and identifying potential areas of risk (financial, reputational, and regulatory).
  • Strong communication skills ability to deal with management and staff
  • Exceptional organizational skills with the ability to execute work assignments quickly
  • Demonstrated exceptional level of accuracy and detail for reporting
  • PC literacy, with good working knowledge of the Microsoft office applications (Access, Word, Excel)
  • SQL knowledge and strong analytical skills Travel Travel:
  • Minimal travel required
  • Posted 30+ Days Ago
  • Full time
  • R-654053

Keywords: State Street, Quincy , AML Global Financial Intelligence Unit - Compliance AVP, Accounting, Auditing , Quincy, Massachusetts

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