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Montréal

    Anti-Money Laundering - Montreal, Canada - Pictet

    Pictet
    Pictet Montreal, Canada

    5 days ago

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    Description

    Your team

    Pictet Montreal is part of the Pictet Group (a Swiss private bank) and has specialised in securities trading for almost 50 years.

    We are looking to expand our Compliance team in order to ensure that Pictet Canada L.P. (PCA) and Pictet Overseas Inc. (POI) establishes and maintains an effective compliance and supervisory program. Our mission is to prevent and detect violations of rules and regulations, to promote ethical practices, and to encourage commitment to compliance with all applicable regulations and internal directives.

    We are seeking a highly skilled and experienced Anti-Money Laundering (AML) Compliance Officer to join our team. The ideal candidate will be responsible for overseeing our firm's AML compliance program, ensuring adherence to the US and Canadian regulatory requirements (IIROC, FINTRAC, AMF, SEC, FINRA, NFA, CFTC, FINCEN, OFAC).

    This role is critical in safeguarding the integrity of our financial transactions and maintaining our reputation as a compliant and trustworthy broker-dealer.

    Your role

    The main role of the AML Compliance Officer (AMLCO) is to assist the CCOs in meeting their AML regulatory and supervisory objectives as well as becoming a key anchor of sell-side compliance knowledge available to the business lines.
    It includes the responsibility for knowing the intricate details of the business lines' operations and needs. That knowledge must result in the design, implementation and monitoring of the compliance and supervisory programs for all entities operating in Montreal. It includes the supervision of the execution of the compliance programs by the line supervisors, and the adequate monitoring and independent testing of line supervisors' work by the compliance staff.


    • Develop, implement and maintain an effective AML compliance program that complies with both Canadian and US regulations.

    • Conduct regular AML risk assessments and update policies and procedures accordingly.

    • Provide training and guidance to staff on AML policies, procedures and regulatory changes.

    • Monitor and analyze trading activities to detect and report suspicious transactions.

    • Liaise with Canadian and US regulatory bodies and law enforcement as necessary.

    • Ensure proper record-keeping and reporting of AML-related activities.

    • Work closely with the compliance team to integrate AML practices into the overall compliance strategy.

    • Stay abreast of evolving AML laws, regulations and best practices in both Canada and the U.S.

    • Manage responses to regulatory inquiries and external audits related to AML matters.

    • Ensure that all findings of misconduct and weaknesses in the compliance and supervisory programs are dealt with promptly and effectively.

    • Diligently monitor current legal and regulatory trends and developments in the Regulatory environment to identify emerging new risks and assess business impact and propose updates accordingly.

    • Ensure coordination with other departments (business lines, senior management, accounting, operations, other offices and Geneva) to ensure effective implementation of all the compliance and supervisory programs across all entities.

    • Coordinate with the Pictet Group and act as external liaison functions, to ensure outside audiences understand the Montreal commitments to compliance and integrity.

    • Participate, as appropriate, in committees and groups, including interdepartmental committees, established to implement business lines needs and the related compliance components.

    Your profile


    • Bachelor's degree in Law, Finance, Business Administration or a related field.

    • Minimum of 10 years of experience in AML compliance, preferably in a broker-dealer environment.

    • Deep knowledge of BSA, AML, Sanction and other applicable regulatory frameworks (SARs, CTF, FATF, etc.).

    • Strong understanding of US and Canadian regulations and guidelines.

    • Excellent analytical and problem-solving skills.

    • Effective communication and interpersonal skills, with the ability to interact with various stakeholders.

    • Proficiency in compliance software and tools used for monitoring and reporting.

    • Ability to work independently and as part of a team in a fast-paced environment.

    • Certified Anti-Money Laundering Specialist (CAMS) or similar certification is preferred.

    Note

    We will not accept any CVs via agencies

    Diversity & Inclusion

    Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.

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