Compliance Manager - International Aml

Summary
As the Head of our Institutional and International Anti-Money Laundering (AML) compliance team, and reporting directly to the SFC Head of AML, the successful individual will oversee a team responsible for Institutional and International client transaction monitoring, customer due diligence, and economic sanctions compliance across multiple business lines.
Essential Duties And Responsibilities

• Develop and lead AML analysts, including providing coaching and supporting team culture and dynamics, to meet high performance standards.
• Identify potential gaps in AML processes and spearhead projects to implement solutions.
• Provides guidance to analysts when researching existing and new accounts to identify negative trends and change in customer transaction behavior for suspicious activity.
• Establish relationships with other leaders and managers in other business units and support teams, throughout compliance and firm, to influence excellent information flow and feedback on the impacts of process, policy and product changes.
• Participate in Vendor Management review of new and existing vendors
• Assist in monitoring rule changes or regulatory developments related to BSA/AML and Sanctions.
• Contribute to the enterprise-wide risk assessment and development of risk related products/solutions
• Review and approve Suspicious Activity Reports (SAR)
• Assist in writing, maintaining, and auditing policies and procedures, and provide training and guidance to analysts for new functions.
• Conduct or oversee quality and accuracy reviews on team associates to ensure the associate's review is complying with specific AML department policies and procedures.

Qualifications

• Exercise excellent independent judgment and discretion when making decisions or recommendations in relation to alert/case decisions and investigations.
• Strong understanding of complex transactional life cycles within a financial enterprise, including but not limited to; brokerage, banking, lending, credit cards and investment banking.
• Strong understanding of AML BSA Compliance for CIP, KYC, CDD, EDD, transaction monitoring and global sanctions for both US and foreign clients.
• Ability to identify and report suspicious activity.
• Working knowledge of compliance analysis and reporting with the ability to identify and affect appropriate risk and control mechanisms.
• Previous experience in onboarding foreign clients and conducting holistic EDD reviews of high risk foreign clients.

Education And Experience

• Minimum Required: Bachelor's Degree in related field
• Proficient in Microsoft Office including Outlook, Word, Excel and PowerPoint
• Experience using Actimize and Regulatory DataCorp (RDC)
• 7+ years exp. in AML, Experience in Financial Services, Bank, brokerage and trust transactional reviews
• AML software, Capital Markets surveillance and SQL Server

Hiring Minimum: $100,863
Hiring Maximum: $151,295
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.