VP, AML Financial Crimes Deputy Compliance Officer

The AML Compliance Group is responsible for the coordination of the Firm's AML Program and is the Firm’s primary contact for regulatory agencies and Firm employees regarding issues related to the AML Program. AML Compliance, in consultation with the Firm's Legal Department, will implement and coordinate Jefferies’ AML procedures for compliance with all of the applicable rules and regulations of Treasury, the SEC, FINRA, the MSRB, the CFTC and other SROs. 

 

This Vice President position is in the AML Compliance Group and will be primarily responsible for, but not limited to, the following:

• Providing advisory guidance with respect to the Firm’s Customer Identification Program requirements and FinCEN’s Customer Due Diligence Rule and Suspicious Activity Reporting Requirements 
• Assessing escalations of adverse media, political exposure, regulatory enforcement actions and government sanctions in connection with the screening of new and existing customer relationships.
• Analyzing the escalation of customer trading and fund transfer activity for the purpose of detecting and reporting any suspicious activity to relevant government authorities.
• Initiating and responding to Section 314(b) Voluntary Information Sharing Requests sent to, and received from, other U.S. Financial Institutions in connection with suspicious activity reviews.
• Monitoring for the issuance of 311 Special Measures and ensuring appropriate action is undertaken by the Firm to comply with the applicable special measures
• Organizing the drafting and review of Suspicious Activity Reports for filing with the Financial Crimes Enforcement Network (FinCEN) within regulatory timeframes.
• Providing advisory guidance with respect to the Firm’s Government Economic Sanction Programs. 
• Reviewing disclosed customer dealings with sanctioned countries and parties to assess the potential sanction risk exposure to the Firm
• Assessing trades, funds transmittal requests and Firm/Customer securities positions for a potential nexus to sanctioned parties/securities 
• Assisting with the preparation of MI reports for Senior Management.   
• Recommending policy, process and surveillance enhancements to the Firm’s AML Program 
• Assisting with the review and preparation of the Firm’s Anti-Money Laundering and  Sanctions Training 
• Assessing the results from QA reviews of Customer Onboarding requests and Transaction Monitoring events 
• Special projects

 

Required Background/ Desired Experience & Skills:

• Bachelor’s degree
• 7-10 years of AML, Sanction and KYC compliance experience at a global financial services firm focused on institutional and capital markets business 
• Knowledge of the securities market and trading strategies
• Understanding of global sanctions programs including but not limited to OFAC, EU, UK economic sanctions 
• Working knowledge of Oracle Financial Services Behavior Detection Framework (OFSBDF)Anti Money Laundering or other suspicious activity monitoring/customer list filtering fintech solution  
• Expertise with respect to the USA PARTRIOT Act of 2001, FinCEN’s Customer Due Diligence Rule, FINRA, SEC, and other AML rules and regulations
• Proficiency with Excel, Word and PowerPoint

 

Additional Qualifications

• Ability to operate in a fast paced, dynamic environment 
• Highly motivated and organized self-starter 
• Excellent writing and presentation skills
• Effective communicator with the ability to develop and foster relationships

 

Primary Location Full Time Salary Range of $150,000 - $190,000. 

Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our strategy focuses on continuing to build out our investment banking effort, enhancing our capital markets businesses and further developing our Leucadia Asset Management alternative asset management platform. We offer deep sector expertise across a full range of products and services in investment banking, equities, fixed income, asset and wealth management in the Americas, Europe and the Middle East and Asia. 

 At Jefferies, we are committed to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to