Fanning Personnel
Vice President/Head of Financial Crimes
Fanning Personnel, Boston, Virginia, United States, 22713
Job Responsibilities:
Support the growth and implementation of a global financial crimes program reasonably tailored to comply with applicable regulations, effectively identify and mitigate regulatory risk, and embed the highest standards of compliance.Areas of focus include economic sanctions, anti-money laundering (AML; investor and transaction related), and anti-bribery/anti-corruption.Lead and direct the work of a team of five compliance professionals; establish professional development plans, foster an environment of growth and learning.Manage global screening and escalation review process; provide leadership in dispositioning complex escalations and alerts and evaluating new regulatory requirements and identifying the need for enhanced controls.Lead the development and maintenance of procedures and controls to comply with applicable regulatory requirements and internal standards, in collaboration with global compliance leaders and other constituents.Provide oversight of teams and third parties who support or execute anti-money laundering or sanctions control activities.Manage the execution of financial crimes processes related to investor onboarding (including AML/KYC and sanctions considerations) and investment support (including managing investment "KYI" diligence and operational due diligence escalations).Oversee the firm's Anti-Corruption Program.Support the firm's Program Governance Team in conducting and/or updating program risk assessments for AML, Economic Sanctions and Anti-Corruption.Assist with inquiries from and interactions with regulatory authorities.Partner with senior Compliance leadership, Legal, investment colleagues, and the operational due diligence team to support business needs.Consult with outside legal counsel on guidance related to compliance and regulatory issues.Qualifications:
Strong financial crimes regulatory knowledge, including a comprehensive understanding of applicable anti-money laundering (including U.S., Cayman Islands and Luxembourg), economic sanctions (including OFAC, UK, EU and UN sanctions) and anti-corruption (including Foreign Corrupt Practices Act) regulations.10+ years of financial crimes compliance experience or comparable experience at a financial institution/private equity firm, law firm, regulatory agency, major consulting firm or in law enforcement, with demonstrated ability to operate across diverse business units.Experience in 1) implementing and managing the use of sanctions, politically exposed person and adverse news screening systems (e.g., WorldCheck, Exiger), 2) resolving complex escalations related to screening results, and 3) developing and overseeing screening processes and controls.Experience leading financial crimes processes related to investor onboarding (including identification and sanctions considerations) and investment support (including "know your investment" and operational due diligence).Pro-active, energetic, self-assured individual with high personal integrity and ability to develop interpersonal relationships.Experience in interacting with regulators, including the SEC and OFAC.Strong compliance background with substantial knowledge of regulations applicable to private funds and Registered Investment Advisers.Strong leadership and mentoring skills.Comfortable operating at both a strategic and hands-on level.Certified Anti-Money Laundering Specialist (ACAMS)/Certified Sanctions Specialist (CSS) is a plus.Enthusiasm for the mission of the company and for its diverse and inclusive culture.Required Years of Experience:
10
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Support the growth and implementation of a global financial crimes program reasonably tailored to comply with applicable regulations, effectively identify and mitigate regulatory risk, and embed the highest standards of compliance.Areas of focus include economic sanctions, anti-money laundering (AML; investor and transaction related), and anti-bribery/anti-corruption.Lead and direct the work of a team of five compliance professionals; establish professional development plans, foster an environment of growth and learning.Manage global screening and escalation review process; provide leadership in dispositioning complex escalations and alerts and evaluating new regulatory requirements and identifying the need for enhanced controls.Lead the development and maintenance of procedures and controls to comply with applicable regulatory requirements and internal standards, in collaboration with global compliance leaders and other constituents.Provide oversight of teams and third parties who support or execute anti-money laundering or sanctions control activities.Manage the execution of financial crimes processes related to investor onboarding (including AML/KYC and sanctions considerations) and investment support (including managing investment "KYI" diligence and operational due diligence escalations).Oversee the firm's Anti-Corruption Program.Support the firm's Program Governance Team in conducting and/or updating program risk assessments for AML, Economic Sanctions and Anti-Corruption.Assist with inquiries from and interactions with regulatory authorities.Partner with senior Compliance leadership, Legal, investment colleagues, and the operational due diligence team to support business needs.Consult with outside legal counsel on guidance related to compliance and regulatory issues.Qualifications:
Strong financial crimes regulatory knowledge, including a comprehensive understanding of applicable anti-money laundering (including U.S., Cayman Islands and Luxembourg), economic sanctions (including OFAC, UK, EU and UN sanctions) and anti-corruption (including Foreign Corrupt Practices Act) regulations.10+ years of financial crimes compliance experience or comparable experience at a financial institution/private equity firm, law firm, regulatory agency, major consulting firm or in law enforcement, with demonstrated ability to operate across diverse business units.Experience in 1) implementing and managing the use of sanctions, politically exposed person and adverse news screening systems (e.g., WorldCheck, Exiger), 2) resolving complex escalations related to screening results, and 3) developing and overseeing screening processes and controls.Experience leading financial crimes processes related to investor onboarding (including identification and sanctions considerations) and investment support (including "know your investment" and operational due diligence).Pro-active, energetic, self-assured individual with high personal integrity and ability to develop interpersonal relationships.Experience in interacting with regulators, including the SEC and OFAC.Strong compliance background with substantial knowledge of regulations applicable to private funds and Registered Investment Advisers.Strong leadership and mentoring skills.Comfortable operating at both a strategic and hands-on level.Certified Anti-Money Laundering Specialist (ACAMS)/Certified Sanctions Specialist (CSS) is a plus.Enthusiasm for the mission of the company and for its diverse and inclusive culture.Required Years of Experience:
10
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