Lead and manage the AML & Surveillance team, setting clear performance expectations, quality standards, and accountability.
Act as the primary escalation authority for complex, high-risk AML and surveillance cases.
Build a strong risk-aware culture while driving team capability, training, and succession planning.
Risk Monitoring & Surveillance
Oversee the design, review, and continuous refinement of red flag indicators, alert scenarios, and threshold frameworks in collaboration with Product Owners and Technology teams.
Develop newer scenarios in collaboration with 3rd party service providers and aligned with Exchange themes / internal observations
Ensure effective monitoring of Authorized Persons (APs) and Branch Surveillance, including investigation, documentation, and regulatory-aligned closure.
Apply a consistent risk-based approach across client behaviour monitoring and surveillance activities.
Policy, Process & Control Frameworks
Own the drafting, review, and periodic enhancement of AML policies, process notes, and SOPs, ensuring alignment with regulatory requirements and internal risk appetite.
Ensure policies are operationally implementable and effectively embedded across teams.
Regulatory Reporting & External Engagement
Ensure timely and accurate regulatory reporting, including STRs and other statutory submissions.
Draft, review, and vet responses to regulatory inspection findings, investigation queries, exchange notices, and supervisory communications.
Coordinate with internal stakeholders to deliver complete, defensible, and regulator-ready submissions.
Technology, Automation & Innovation
Drive initiatives to automate AML and surveillance workflows, leveraging advanced analytics, rule optimization, and AI-based solutions.
Partner with Product, Technology, and Data teams to improve alert quality, reduce false positives, and enhance investigation efficiency.
Support design, testing, and rollout of compliance technology solutions, including proof-of-concepts and system enhancements.
