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Director - Financial Intelligence Unit

Company: Equitable
Location: Charlotte
Posted on: February 16, 2020

Job Description:

The Director of the FIU Advisory and Governance Unit will lead a team of individuals that oversees the implementation of financial crime controls (Fraud, AML, Sanctions and Anti-bribery) across the business units of the company. This includes multiple insurance companies, retail and wholesale broker dealers, registered investment advisors, and retail mutual fund companies. In this role you will provide leadership and direction for proactive financial crime activities, work collaboratively with the AML Officer, Fraud Officer, and stakeholders across the organization to implement and continuously refine processes and controls to protect clients and the company.In this role, the Director will be focused on a risk management model that offers greater consistency in the application of policies, procedures and 1st line monitoring in order to strengthen financial crime controls. This includes supporting centralized governance, integrated issues management and a holistic view of risk and reporting to senior management.Building on our existing Hub and Spoke model, you will lead the FIU in fostering partnerships with business and aim for compliance/fraud solutions that will minimize business disruption and cost. Ensure clarity and understanding of FIU framework amongst the business stakeholders and support ongoing business growth while continuing to protect against fraud and financial crime risk.Responsibilities: Works closely with the Fraud Officer to design, implement and maintain the fraud controls integrated across multiple customer interaction points. Help monitor the regulatory environment with respect to BSA/AML, OFAC, and Anti-Corruption/Bribery to identify new laws/regulations (or changes to existing laws and regulations), as well as determine the applicability and impact, and develop appropriate plans of action (e.g., development and/or revision of policies, procedures, training, etc.) to ensure ongoing compliance. Manage various procedures and controls that effectuate the anti-bribery policy and works with partnering department that monitor for possible anti-bribery violations. Such controls include operational gifts and entertainment reporting and pre-approval process, third party evaluations, and books and records controls Responsible for the development and implementation of financial crime risk assessment strategy that continually identifies new financial crime risks and lessons learned from applicable regulatory enforcements, industry incidents, and historical experience. Create and present an annual FIU Risk Assessment which maps financial crime activities and calculates residual risk. Ensures comprehensive Financial Crime regulatory and fraud risk matrix to drive prioritization that aligns with operational and compliance risk assessments. Develop strong compliance monitoring and QA review programs designed to evaluate the adequacy and effectiveness of the financial crime policies, procedures and internal controls. Develop the overall strategy for FIU Training Program that ensures consistency in understanding across the organization and continues to promote EQHs strong compliance culture. Supervise the implementation of the company s Customer Identification Program (CIP). Develop data analysis requirements that looks for root cause, patterns and emerging trends to continuously refine layers of protection. Represent FSO/FIU at executive level committee meetings and provide clear and concise reporting on FSO activities and 1st line functions. Provides subject matter expertise and manages the creation of business requirements to enhance the FIU technology platform. Formalizes and continuously approves FIU Hub and Spoke model with respect to 1st line defense and appropriately engaging financial crime hub and spoke resources. Works closely with the business units to ensure proper communication and controls with third party service providers. Provide reporting and dashboard requirements to support accurate FIU management and executive level reporting. Handle other duties as assigned to assist with the effective administration of the FIU Program. Qualifications Minimum Qualifications:Bachelor's Degree10+ years of broker dealer, compliance, legal, regulatory or law enforcement experience in the AML or Fraud subjects. Preferred Qualifications:Strong knowledge of USA Patriot Act/Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) regulatory requirements required, including comprehensive understanding of OFAC sanctions and CDD/KYC requirements.Strong understanding of the company's operations and policy, payment and others administrative systemsStrong understanding of fraud and AML concepts/controls and investigative techniques requiredExperience and strong understanding of the convergence of fraud, AML, and cybersecurity risk typologiesWell-organized, efficient and detail-oriented self-starter with the ability to simultaneously handle multiple tasks and changing priorities in an effective manner.Strong written and verbal communication skills.Highly analytical with a control s mindset.Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demandsStrong analytical, problem solving and organizational skills.Strong technical aptitude, able to work closely with technical analysts and architects on the functional design strategy of AML and Fraud systems.Ability to work independently, as well as within a team environment, and be able to interact with all levels of staff and management.Demonstrated familiarity with transaction monitoring tools, screening applications, and various AML or Fraud Investigative tools. Knowledge of Norkom/NetReveal, Lexis Nexis, Bridger, and World-Check preferred.Relevant Professional Certification (Association of Certified Anti-Money Laundering Specialists (ACAMS), Associate of Certified Fraud Examiners (ACFE) or Association of Certified Financial Crime Specialists (ACFCS) is preferred. Associated topics: actuarial analyst, actuarial assistant, actuarial consultant, actuarial director, actuary consultant, investment actuary, life actuary, model, probability, risk

Keywords: Equitable, Charlotte , Director - Financial Intelligence Unit, Executive , Charlotte, North Carolina

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