Regulatory and Compliance, Corporate AML Oversight - Vice President

The role

This individual will serve as a senior subject-matter expert providing oversight of AML controls across U.S. and international businesses. They will partner with various functions to assess regulatory requirements and oversee the effectiveness of the AML control environment.

What you will do

• Support the oversight, maintenance, and ongoing enhancement of the firm’s U.S. AML/CFT compliance framework.
• Monitor developments involving applicable BSA, FinCEN, OFAC, SEC, and FINRA requirements.
• Provide AML subject-matter expertise and guidance to various stakeholders.
• Evaluate new products, services, distribution arrangements, client relationships, and business initiatives for AML/CFT and sanctions implications.
• Facilitate enterprise and business-specific AML/CFT risk assessments.
• Provide Compliance oversight of higher-risk customer, investor, intermediary, and counterparty relationships.
• Advise stakeholders on enhanced due diligence, risk mitigation, escalation, and disposition.
• Assist with senior-management and committee reporting on AML risk and regulatory developments.
• Coordinate and support AML-related regulatory examinations, internal audits, and independent testing.
• Provide oversight of third parties performing AML/KYC activities.

Required qualifications

• 10+ years of relevant experience in AML and BSA, financial crimes, regulatory compliance, or related risk-management roles within financial services
• Bachelor's degree is required
• Significant experience within a broker-dealer, investment adviser, asset manager, private funds organization, bank, or comparable regulated financial institution
• Strong working knowledge of the Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations and guidance, OFAC requirements, FINRA AML requirements, and relevant SEC requirements and expectations
• Able to interpret regulatory requirements and translate them into practical controls and governance standards
• Strong written and verbal communication skills

Nice to have

• JD, advanced degree, or other relevant professional certification
• Experience assessing complex legal entities, private investment structures, funds, financial intermediaries, or institutional relationships
• CAMS certification

Benefits

• Salary
• Equity for all full-time employees
• Annual performance bonus
• Employer matched retirement plan
• Generously subsidized healthcare
• 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
• Parental leave
• Unlimited paid time off (PTO)

About the company

iCapital is a firm seeking a Corporate Anti-Money Laundering (AML) Oversight Vice President to join its Regulatory and Compliance organization.