BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

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Brokerage Consultants - Financial Recruiting

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

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Deputy Anti-Money Laundering (AML) Officer

Omaha, NE

Deputy Anti-Money Laundering (AML) Officer (951-5)
Omaha, NE
Compensation commensurate with experience

The Deputy AML Officer is responsible for developing, implementing,
administering, and maintaining all aspects of the Bank Secrecy Act/Anti-Money
Laundering Compliance Program which will be designed to ensure a high level of
compliance with the BSA/AML related laws and regulations, internal policies
and procedures and Federal regulatory expectations. The position requires the
successful applicant to be fully knowledgeable and skilled in all areas of
BSA/AML Compliance and be able to independently recognize, develop, and
implement cost effective compliance related solutions for the BSA/AML program.

Coordinate and oversee an effective Bank Secrecy Act/Anti-Money
Laundering/OFAC Compliance Program that is in-line with current industry best
practices, regulatory guidance and requirements
Enhance, develop, implement and administer the BSA/AML/OFAC/USA Patriot Act
monitoring systems to ensure that appropriate parameters are in place to
identify suspicious and/or fraudulent activity
Establish and maintain an effective CDD/EDD risk rating and monitoring program
to include initial and ongoing assessments, and review and analysis of
unusual/suspicious account activity
Establish and maintain appropriate SAR investigation, review and reporting
processes that promote consistent decisions; adequate investigation and
research; and complete and detailed documentation
Conduct BSA/AML/OFAC risk assessments annually or as needed with consideration
to products, services, customers, and geographies that may present
BSA/AML/OFAC related risks
Responsible for ensuring all required regulatory reporting is conducted in a
timely, accurate, and compliant manner, including the filing of Suspicious
Activity Reports (SARs) and if necessary CTRs to FinCEN, as well as, FinCEN
314(a) and 314(b) procedures and reporting
Act as liaison/contact for FINRA and SEC examinations and internal and
external independent reviews or audits of the BSA/AML/OFAC compliance programs
Exam and audit concerns and oversee corrective action of all related
compliance deficiencies or violations
Update and revise BSA/AML/OFAC policies, procedures and preparation of monthly
BSA statistics for the Board
Stay abreast of and analyze developing industry and compliance trends, scams
or schemes, and changes to laws and regulations pertaining to BSA/AML/OFAC/USA
Patriot Act
Responsible for oversight of the testing, validation, and accuracy of the
BSA/AML surveillance monitoring systems
Primary liaison to correspondent brokerage firms to advise them of BSA/AML
issues identified at their firms
Refine and update BSA/AML risk metrics to facilitate in the identification of
BSA/AML risks for the firm

Bachelor’s degree - required
5+ years of prior financial institution BSA/AML compliance experience in
developing and implementing BSA/AML/CIP/OFAC policies, programs and procedures
CAMS certification – required

Alternative Investments // Asset Management // Banking // Broker Dealer // Compliance and Legal