Helping Financial Advisors and Wealth Managers incorporate alternative strategies at scale. Helping Asset Managers open new lanes of distribution.
About the role
iCapital is seeking a Corporate Anti-Money Laundering (AML) Oversight Vice President to join its Regulatory and Compliance organization and support the AML team. This individual will serve as a senior subject-matter expert responsible for providing oversight of AML controls across applicable U.S. and international businesses. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- 10+ years of relevant experience in AML and BSA, financial crimes, regulatory compliance, or related risk-management roles within financial services
- Bachelor's degree is required, JD, advanced degree, or other relevant professional certification is a plus
- Significant experience within a broker-dealer, investment adviser, asset manager, private funds organization, bank, or comparable regulated financial institution
- Strong working knowledge of the Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations and guidance, OFAC requirements, FINRA AML requirements, and relevant SEC requirements and expectations
- Experience assessing complex legal entities, private investment structures, funds, financial intermediaries, or institutional relationships strongly preferred
- Able to interpret regulatory requirements and translate them into practical controls and governance standards
More about this role
iCapital is seeking a Corporate Anti-Money Laundering (AML) Oversight Vice President to join its Regulatory and Compliance organization and support the AML team. This individual will serve as a senior subject-matter expert responsible for providing oversight of AML controls across applicable U.S. and international businesses. This role will partner closely with Legal, Compliance, Risk, business stakeholders, and other control functions to assess regulatory requirements, oversee the effectiveness of the AML control environment, identify emerging risks, and support the firm's ongoing regulatory readiness.
- Support the oversight, maintenance, and ongoing enhancement of the firm’s U.S. AML/CFT compliance framework, including policies, procedures, standards, internal controls, governance, and monitoring.
- Monitor developments involving applicable BSA, FinCEN, OFAC, SEC, and FINRA requirements and translate regulatory changes and emerging expectations into practical enhancements to the firm’s AML control environment.
- Provide AML subject-matter expertise and guidance to Compliance, Legal, Risk, Operations, Product, Technology, and business stakeholders.
- Evaluate new products,...
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