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   Job Tittle

Compliance Manager-Region 1 (USA & Mexico)




Los Angeles

Reports to

Global Compliance Director

Date Updated

February 2017





Reporting to the Global Compliance Director, the main role of the Compliance Manager is to ensure that the Business (ICE and Lenlyn) throughout the branch network and all operational centres within the region are at all times compliant with all legal and regulatory obligations.


As an appointed MLRO, the primary responsibility is to ensure that the Business is compliant with the current Money Laundering Regulations, subject to updates and amendments issued by the various Regulators.     


You must ensure that adequate controls and procedures are in place so that the business is fully compliant at all times in respect of regulatory requirements and legal requirements, for example BSA, FinCEN, CNBV,Data Security, Anti-Bribery & Corruption, FATCA, and as the parent company is registered in the UK, PCI Standards.  


It is important that you keep up to date with all regulatory changes and future statutory proposals and liaise with the Global Compliance Director, based in the UK, in a timely manner especially where any future changes could involve the operations of the business.


You must be a highly motivated, able to promote and embed a positive compliance culture across the business; working collaboratively with different stakeholders to continually improve processes and reduce risk.


This role is based in Los Angeles, California.





      1. Anti Money Laundering
  • To act as a Money Laundering Reporting Officer (MLRO) ensuring that the Company’s FX operations are compliant with all AML requirements in all relevant states and countries;
  • On-boarding (KYB), due diligence and ongoing monitoring of Wholesale B2B customers including other MSBs;
  • Responsible for creation and review of the weekly (WAA), monthly (MAA), and quarterly (QAA) AML analysis reports and takes the necessary steps to mitigate any risks;
  • Develops, updates and monitors AML training initiatives, activities and employee AML training;.
  • Ensures all large and suspicious transactions are filed in accordance with FinCEN requirements and internal company policy;
  • Develop and implements AML risk; and
  • Works closely with the Inspector for Region 1 to:
    • identify risks that determine the audit program;

    • assess inspection reports to ensure that all policies and procedures are adhered to; and

    • identify required control improvements.


       2. Anti-Corruption         

  • Ensure that the requirements of the Bribery Act 2010 (as incorporated in the UK) are adhered to by all staff and that a culture of anti-corruption is embedded within the company;
  • There is a clear and understandable policy in place, kept up-to-date, and supported by fair and proportionate procedures;
  • All staff are made aware of the policy through the HR training Department; and
  • A Gifts and Entertainment Register is maintained and kept up-to-date.
      3. Data Protection
  • Ensure that a Data Security Policy is in place, similar to that maintained in the UK, and that it is adequate and kept up-to-date;
  • All staff receive adequate training through the HR Training Department; and
  • This main Policy is adequately supported by other policies on data security, for example, (1) Clear Desk Policy, and (2) Confidential Waste Policy.  


      4. Payment Card Industry Compliance “PCI”
  • Ensure that staff are aware of the importance that customer Card Data is held, processed, and where appropriate transmitted securely within the terms of the PCI Standards;
  • Staff receive adequate awareness training; and
  • That there is an adequate IT Security Policy in force which is reviewed on an annual basis.


     5. FATCA

To liaise closely with the Global Compliance Director in the UK regarding any matters which could affect the FATCA registrations and that information regarding any corporate or regulatory changes are passed to Head office as a matter of priority. 


     6. Regulatory Risk


·      Ensure the ongoing compliance of the business with region

      specific regulations, producing timely analysis on the

      effect changing regulations will have on business Operations;and

·   Develop a positive working relationship with all regulators,

     developing and maintaining a region specific legislation map.


In addition to the above, you will be required to work closely with Operations on any future projects, developments and business opportunities that may emerge, to ensure compliance risks are assessed, that the appropriate controls are considered and, if applicable, implemented.






  • Requirement to attend any relevant management meetings for Region 1


    Judgement Complexity 

  • Judgement and analytical skills are essential.
  • The incumbent has to determine the risk presented and decide on the importance of allocating and prioritising resources.
  • Requires the ability to ‘sell’ positive ideas to management to influence them to adopt best practice and ensure compliance with regulatory requirements.
  • Ability to keep up to date with all regulatory changes and future proposals where these changes involve the operations of the business while at the same time adopting a “business” approach when making recommendations. 




  • At least 5 years experience in Compliance either with an MSB or in banking generally, with a strong background in AML;
  • Professionally qualified - ACAMS or equivalent;
  • Experience of work in a large, cross-border business;
  • Experience in US Federal and State Compliance requirements
  • Previous Managerial Experience
  • Ability to delegate to multi location staff
  • Good report writing skills
  • Ability to apply new, risk based procedures and map out compliance requirements in line with regulatory legislation
  • Good communication skills and numeracy
  • Must be computer literate – Microsoft office suite; and
  • A second language, particularly Spanish or French, would be an advantage.

Whilst based in Los Angeles, the role will involve some travel, including overseas, and therefore a flexible approach to the aspect of the role is expected.


If you think you have what it takes to be a part of our ICE family,send us a covering letter and your CV, and tell us a bit about yourself to:

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