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About the Role
iCapital is seeking a Corporate Anti-Money Laundering (AML) Oversight Vice President to join its Regulatory and Compliance organization. This senior subject-matter expert will provide oversight of AML controls across U.S. and international businesses, partnering with various departments to assess regulatory requirements, ensure AML control effectiveness, identify risks, and support regulatory readiness.
Responsibilities
- Support the oversight, maintenance, and enhancement of the firm’s U.S. AML/CFT compliance framework, including policies, procedures, standards, internal controls, governance, and monitoring.
- Monitor developments in BSA, FinCEN, OFAC, SEC, and FINRA requirements, translating regulatory changes into practical AML control enhancements.
- Provide AML subject-matter expertise and guidance to Compliance, Legal, Risk, Operations, Product, Technology, and business stakeholders.
- Evaluate new products, services, distribution arrangements, client relationships, and business initiatives for AML/CFT and sanctions implications, recommending risk mitigation.
- Facilitate enterprise and business-specific AML/CFT risk assessments, identify control gaps and enhancement opportunities, and establish oversight metrics.
- Provide Compliance oversight of higher-risk customer, investor, intermediary, and counterparty relationships, including AML/KYC escalations.
- Advise stakeholders on enhanced due diligence, risk mitigation, escalation, and disposition, and support investigations of potentially unusual or suspicious activity.
- Assist with senior-management and committee reporting on AML risk, regulatory developments, significant issues, remediation initiatives, and program effectiveness.
- Coordinate and support AML-related regulatory examinations, internal audits, independent testing, compliance reviews, and regulatory information requests.
- Provide oversight of third parties performing AML/KYC activities, including developing risk-based due diligence, monitoring, and testing standards.
- Escalate material third-party or program deficiencies and oversee corrective-action and remediation plans.
- Support the development and delivery of risk-based AML/CFT training and targeted guidance on regulatory expectations and emerging risks.
Requirements
- 10+ years of relevant experience in AML and BSA, financial crimes, regulatory compliance, or related risk-management roles within financial services.
- Significant experience within a broker-dealer, investment adviser, asset manager, private funds organization, bank, or comparable regulated financial institution.
- Strong working knowledge of the Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations and guidance, OFAC requirements, FINRA AML requirements, and relevant SEC requirements and expectations.
- Experience assessing complex legal entities, private investment structures, funds, financial intermediaries, or institutional relationships strongly preferred.
- Able to interpret regulatory requirements and translate them into practical controls and governance standards.
- Strong written and verbal communication skills with the ability to communicate complex regulatory matters to senior management and business stakeholders.
- Demonstrated ability to challenge existing processes constructively and drive remediation across multiple functions.
Skills
- AML
- BSA
- Financial Crimes
- Regulatory Compliance
- Risk Management
- Bank Secrecy Act
- USA PATRIOT Act
- FinCEN regulations
- OFAC requirements
- FINRA AML requirements
- SEC requirements
- CAMS certification
Location
- New York, NY
Work Type
- Hybrid
Experience Level
- 10+ years
Education Level
- Bachelor's degree required
- JD, advanced degree, or other relevant professional certification is a plus
Salary/Compensations
- $155,000 to $180,000
Benefits
- Equity for all full-time employees
- Annual performance bonus
- Employer matched retirement plan
- Generously subsidized healthcare
- 100% employer paid dental
- 100% employer paid vision
- 100% employer paid telemedicine
- 100% employer paid virtual mental health counseling
- Parental leave
- Unlimited paid time off (PTO)
About the Company
- For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us
- X: @icapitalnetwork
- LinkedIn: https://www.linkedin.com/company/icapital-network-inc
- Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
Equal Opportunity
- iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.