AML & Sanctions Counsel
- 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.
- 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.