Edd – Enhanced Due Diligence – Operations Director – AVP – Periodic Review

Edd – Enhanced Due Diligence – Operations Director – AVP – Periodic Review

Requirements

• Understand BSA/AML regulations
• Understand foreign and domestic business entities and structures
• Proficiency in Spanish/Portuguese language skills
• Be able to handle highly confidential information professionally and with appropriate discretion
• Four year college degree
• Currently hold SIE/Series 99 or able to obtain
• At least 4 years’ relevant experience would generally be expected to find the skills required for this role

Responsibilities

• Serve as a subject matter expert within functional area, working with Team Manager to manage processes, risks and/or projects, proposing and implementing improvements/changes
• Act as key problem solver for area or expertise, applying detailed knowledge to address unique or novel situations, recognise risks and draw out key issues
• Coordinate work, train and develop other team members where required, including task allocation, and project contribution
• Partner with Field partners in completing KYC requirements for clients subject to enhance due diligence reviews

Preferred Qualifications

• Ability to lead by example, work with drive and determination, and put forward challenging views to senior levels
• Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team
• Ability to operate independently across the majority of day-to-day responsibilities
• Culture carrier across Operations, embracing the Firm’s core values and acting as a role model
• Ability to work both independently and in collaboration with various stakeholders
• Evidence strong interpersonal skills and ability to communicate effectively both verbally and in writing