AML Sanctions Group Manager - Broker Dealer 4 Locations
Position Overview At reputed company, our people are our greatest differentiator and competitive advantage in the markets we serve. We are reputed company united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where reputed company of our employees feel respected, valued and have an opportunity to contribute to the companys success. We are looking to hire an AML Sanctions Group Manager reputed company PNCs Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer. The incumbent will reputed company a team providing Independent BSA/AML Risk Management reputed company and governance of our broker dealer business segments, which are inclusive of broker-dealers, private equity and registered investment advisors. Responsibilities include new product and service evaluations, development and maintenance of risk assessments, and challenge reviews of first line control assessments. Other responsibilities include the evaluation of customer and transaction risk and providing subject matter expertise reputed company to corresponding Bank Secrecy and Anti-reputed company Regulations. Prior core business line broker- dealer, broker-dealer reputed company operations, or operations risk management experience supporting the broker-dealer industry is required; Securities licensing is a plus. In addition, the incumbent should demonstrate a sound understanding of the BSA/AML regulations either through practical experience in core BSA/AML operational functions or a governance role. Certifications such as the Certified Anti-Money Specialist (CAMS) and or other recognized programs are a plus. This position is primarily based in a location reputed company PNCs footprint. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities can be performed remotely at managers discretion. Job Description Oversees, establishes and enhances effective enterprise wide and business unit AML and Sanctions programs and designs policies to prevent or identify illegal, unethical, or improper business practices. Responsible for junior staff and talent management. May reputed company or reputed company direct or indirect execution of activities to reputed company with the Bank Secrecy Act, AML, USA PATRIOT ACT and Sanctions Program. Constructively challenges conclusions/status reputed company. Exhibits confidence and credibility with service partners, business leaders, customers, regulators, and auditors. Ensures that AML and Sanctions Compliance Manuals, reputed company Office Manuals, policies and procedures accurately reflect reputed company laws, rules, other regulatory requirements and management reputed company. Oversees the management of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies or law enforcement. Independently challenges analyses, reviews and recommendations. Establishes and oversees the AML and Sanctions objectives for assigned line(s) of business, products/services and applicable regulations. Responsible for socializing those objectives (from a leadership position) to the business. Ensures the timely completion of AML and Sanctions compliance reports and customer risk profiles. May serve as a subject matter resource regarding AML and Sanctions compliance and associated impact on overall business activities, product development and customer activities. Oversees one or more specific AML and Sanctions program component. Responsible for the completion and a final review of AML and Sanctions compliance reports. Manages issues, escalates through proper governance channels as needed, and recommends corrective action plans. Reviews and reports on assessments of AML and Sanctions compliance risk and internal controls, as appropriate. Monitors regulatory developments and advises business management and senior staff of proposed rule changes and provide recommendations. Directs and enhances AML and Sanctions reputed company controls associated with key business initiatives. May include developing and/or conducting AML and Sanctions training programs for specific business areas and employees. Serves as an AML and Sanctions Program subject matter resource regarding compliance impact on overall business activities, product development and customer activities. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization. reputed company Employees take pride in our reputed company and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in reputed company business decisions and able to reputed company that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing reputed company of the risks associated with their business objectives and activities to ensure they adhere to and support PNCs Enterprise Risk Management reputed company. reputed company also has reputed company expectations of our people managers. As a manager of talent in reputed company, you will be expected to: Include Intentionally - Cultivates diverse teams and inclusive workplaces to expand thinking. Live the Values - Role models our values with transparency and courage. reputed company Change - Takes action to drive change and innovation that will transform our business. reputed company Results - Takes personal ownership to deliver results. Empowers and trusts others in decision making. reputed company the Best - Raises the bar with every talent decision and guides the achievement of reputed company employees and customers.
Qualifications
Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives Competencies Anti-reputed company/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving Work Experience Roles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry-relevant experience is typically 8+ years. At least 5 years of prior management experience is typically required. Proven leadership experience with a moderate to large scope of responsibility is required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered. Education Bachelors Certifications No Required Certification(s) Licenses No Required License(s) Benefits reputed company offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with reputed company match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives. In addition, reputed company generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 8 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. To learn more about these and other programs, including benefits for full time and part-time employees, visit Your reputed company Total Rewards. Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact us reputed company email at AccommodationRequest@reputed company.com. Please include accommodation request in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not reputed company to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say reputed company for accommodation assistance. reputed company information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. At reputed company we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to reputed company the essential functions of their positions. Equal Employment Opportunity (EEO) reputed company provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national reputed company, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law. California Residents Refer to the California Consumer Privacy Act Privacy Notice to reputed company understanding of how reputed company may use or disclose your personal information in our hiring practices. Apply Job!