AML Prime Brokerage Compliance Officer
Consultant Lucky Nguyen
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known capital markets firm is hoping to recruit an AML compliance officer who has prior experience in prime brokerage. Only candidates with prime brokerage experience will be considered for this role.
This particular role will deal with enhanced due diligence review, transaction monitoring, stock deposit, client on-boarding and documentation review.
- Provide guidance to operations and the business relating to client on-boarding issues;
- Review customers' enhanced due diligence reports and escalate any concerns to the Head of AML;
- Conduct on-going enhanced due diligence reviews on a timely basis;
- Conduct in-depth review of stocks requested for deposits and provide recommendation accordingly;
- Monitor customer transactions for unusual activities using both manual and automated solutions
- 5+ years of AML/BSA experience