The Horizon Group
August 13, 2014
Job Type


Job Title: AML Monitoring and Investigations Director

The Anti-Money Laundering Investigations Director will manage the day to day operations of the AML Monitoring, Investigations and SAR reporting area:

  • Provide day to day management over the Enterprise AML Monitoring and Analysis and Investigations areas to ensure that each operates in an effective and efficient manner capable of self-monitoring for effectiveness;
  • Establish a seamless and transparent interface between the Monitoring, Investigative and SAR functions of the Department;
  • Ensure the proper and timely filing of Suspicious Activity Reports which have sufficient quality and information to aid law enforcement;
  • Ensure that the assets of the AML Monitoring and Analysis and Investigation functions are continuously oriented toward the detection and reporting of suspicious activities and to providing proactive and informative information and reports to the bank’s AML area, Global AML areas and lines of business regarding AML trends, typologies and customer and business areas of concern;
  • Ensure that the investigative strategies and information are incorporated within the day to day operations of the Department;
  • Ensure that requests for information from regulators and law enforcement are properly acted upon.
  • Provide continuing advice and guidance to peers in the AML area regarding the investigation area and function.

Essential Duties and Responsibilities:

  • Provide day to day management and lead a team of experienced Investigators who work complex and sensitive investigations involving money laundering and terrorist financing;
  • Manage the oversight of critical decision making on potential suspicious activity and terrorist financing activity;
  • Provide direct supervision and guidance that can be adaptable to both new hires and experienced investigators as needs are identified;
  • Apply consistency to investigate decision making and remain mindful of the responsibilities to Corporate and Regulatory requirements;
  • Effectively manage and coordinate the workflow of the investigative process;
  • Quickly identify problem areas in the workflow process and develop efficient remedies;
  • Interface with Regulators and Internal Audit on a regular basis;
  • Assess institutional knowledge and understanding of complex financial crimes investigations;
  • Be cognizant of changing money laundering trends and industry standards;
  • Develop clear career and personal development trends, identify investigators with development potential and provide opportunities for success;
  • Indicate areas where cross training personnel would improve group efficiencies and institute cross training procedures;
  • Maintain performance reviews for investigators and support staff and benchmark those performance elements that validate and support performance reviews;
  • Establish and maintain uncompromising standards of integrity;
  • Conduct sensitive and diplomatic conversations with customers and their relationship bank personnel regarding AML and Terrorist Financing issues.

Experience /Qualifications/Education:

  • BA/BS; Advanced degree preferred; Legal background a plus
  • Generalist Compliance experience
  • Knowledge of Broker Dealer and related regulatory issues – particularly Dodd Frank & Volcker
  • Experience with regulators (FINRA, CFTC, SEC, Federal Reserve, etc.)
  • Prior experience in a Foreign Bank
  • Prior experience in managing staff required
  • Excellent communication skills
  • Ability to influence and negotiate


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