Regulatory and Compliance, AML - Assistant Vice President

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New York, New York, United States Full-time Posted 30+ days ago

Responsibilities * Review of investor and client AML and KYC documentation, client communications, quarterly reporting and ongoing monitoring. * Perform third party reliance testing and monitoring. * Collaborate across various business lines on new initiatives, providing compliance guidance. * Conduct AML screening review and dispositions. * Assist in preparing for and responding to inquiries and audits.  Qualifications * 5+ years of alternatives experience, preferably with both broker dealer and registered investment advisor experience * Strong knowledge of the Investment Company Act…

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