The bank for a changing world

CIB Compliance - Vice President


Standard / Permanent


US-NJ-Jersey City

Job function




Business Overview:
Financial Security Transaction Monitoring and Investigation (“TMI”) is part of the US. Financial Security Department and responsible for detecting, reviewing and reporting on potential suspicious activities filtered by various AML systems in addition to ensuring case quality, managing and reporting and productivity metrics, ensuring procedures are current and refined, and working with senior management and regulators (routine and non-routine) and assisting in evaluating and fine-tuning monitoring processes, rules, thresholds and parameters to ensure that the business rules are appropriate for business lines, client types and transaction volumes; modify rules where appropriate.
  • Lead and manage, develop and recruit fulsome TMI surveillance teams
  • Manage and oversee the deployment of resources within the team
  • Help execute the TMI program to meet regulatory requirements and internal policies; identifying and undertaking improvement initiatives on all transaction monitoring related processes and systems, fine-tuning surveillance systems to ensure that the systems are producing meaningful and valid alerts as necessary
  • Help evaluate surveillance parameters and make/recommend changes in protocols where warranted
  • Provide guidance to senior compliance, business and functional management in addressing complex TMI surveillance issues; facilitating an ongoing dialogue, exchange of information and collaboration with other compliance functions to continuously enhance the surveillance control environment
  • Prepare periodic management reports as required by senior management
  • Ensure thorough review and timely closure or escalation of suspicious transactions and investigations
  • Assist in diverse tasks including regulatory reporting/inspections and internal/external audits
  • Draft, review and revise relevant policies and procedures as necessary
  • Participate in governance forums to provide insight on the control environment and identified emerging risks
  • Participate in the development of training resources and tools to support the surveillance program
  • Participate in ad-hoc special projects or special assignments
  • Actively participate in Team discussions, Committees, projects and proposals.
  • Prepare and coordinate materials for internal and external examinations
  • Ensure that key projects within the TMI Strategic Plan are executed
  • Contribute to future Strategic Plans for USFS

  • Bachelor's and/or advanced degree with a concentration in Finance, Business, Economics, Criminal Justice or Statistics/Mathematics
  • 5 + years managing surveillance teams
  • Highly effective communication skills and the ability to interact with all levels of management
  • Strong organizational, interpersonal and presentation skills
  • Demonstrated experience building and developing AML surveillance teams
  • Demonstrated experience leading process and technology change within a large bank or BD AML and/or fraud environment
  • Ability to train, mentor, develop and motivate staff
  • Demonstrated experience in back, middle and front office applications and processes
  • Knowledge of anti-money laundering, market abuse and consumer compliance regulatory requirements

FINRA Registrations Required: 

  • Not Applicable