AML & Sanctions Counsel

  • Location

    Chicago, Illinois

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £165000 - £200000 per annum + 260,000

  • Contact:

    Maria Talebian

  • Contact email:

    mariatalebian@taylorroot.com

  • Job ref:

    AML1_1555606531

  • Published:

    about 1 month ago

  • Expiry date:

    2019-05-18

  • Startdate:

    01/05/2019

  • Consultant:

    #

AML & Sanctions Counsel

Responsibilities

  • Advising the firm's New Accounts, AML and Trade Surveillance teams on questions about AML and KYC as they arise, and escalate significant issues to senior Legal personnel or firm management;
  • Evaluate the AML-related changes required for new business lines or services the firm offers;
  • Helping design appropriate policies and procedures for AML and the review and opening of new accounts;
  • Identifying necessary changes to the firm's systems and procedures to meet new AML and Trade Surveillance rules and regulations;
  • Designing and helping to implement enhanced due diligence procedures regarding higher risk applications and customers of the firm;
  • Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and similar non-US regulatory authorities.

Qualifications

  • 6-15 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer.
  • Solid knowledge of both trade surveillance and AML rules.
  • Member in good standing of the bar of any U.S. state or the District of Columbia.
  • Solid academic background.
  • Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • Outstanding oral and written communication skills.
  • Ability to work in a small-team environment and to work independently and to multi-task.
  • Occasional travel to Washington, D.C.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.