A leading global investment bank is seeking a Vice President to join its Global Financial Crimes (GFC) Advisory team, supporting Institutional Securities Group (ISG) Sales & Trading businesses. This role focuses on providing AML, sanctions, and broader financial crimes advisory across complex transactions and client relationships.
Role Overview:
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Provide advisory support on financial crimes risk, including AML, sanctions, anti-corruption, and related areas, across sales & trading and capital markets activities.
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Conduct and advise on transactional due diligence for clients, counterparties, co-investors, and target assets, including risks related to sanctioned jurisdictions and individuals.
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Serve as a key escalation point for KYC onboarding, enhanced due diligence, periodic reviews, and transactional matters.
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Develop and communicate financial crimes risk assessments for clients, counterparties, and transactions.
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Advise on investment banking and capital markets transactions, partnering closely with business and senior stakeholders.
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Draft, enhance, and implement policies and procedures related to financial crimes compliance.
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Design and deliver targeted training across business units and control functions.
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Provide guidance on sanctions-related regulatory interpretation and application.
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Support customer risk rating methodologies and reviews.
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Participate in new product approval processes from a financial crimes perspective.
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Oversee and advise on negative news reviews and sanctions-related escalations.
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Represent compliance on internal governance committees across business and risk functions.
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Support regulatory exams, internal audits, and inquiries, including document production and data coordination.
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Collaborate with Legal, Compliance, Risk, and Regulatory Relations teams to ensure effective execution of the firm’s financial crimes program.
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Engage with industry groups and external forums as needed.
Qualifications:
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7–10+ years of relevant experience within a large financial institution, law firm, or regulatory agency.
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Deep knowledge of AML, sanctions, and anti-corruption frameworks and regulations.
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Strong understanding of institutional securities, including sales & trading and fixed income markets.
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Experience advising on complex transactions and client-related financial crimes risks.
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Strong analytical, problem-solving, and decision-making capabilities in time-sensitive environments.
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Excellent written and verbal communication skills with strong attention to detail.
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Proven ability to manage multiple priorities and work both independently and collaboratively.
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Strong project management and stakeholder engagement skills.
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Sound judgment with a demonstrated ability to escalate issues appropriately.
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AML certification (e.g., ACAMS) preferred or willingness to obtain.
Education:
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Bachelor’s degree required.
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JD preferred but not required.