Analyst - AML FCM Client Intelligence Unit

Job Description Summary

Under limited supervision, specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, and/or certification are used to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Assists on projects of moderate scope and complexity and serves as a technical advisor to various business lines. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research, and resolve problems.

Job Description

Responsibilities

• Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations.

• Documenting and reporting the investigation findings in the case management system and preparing reports to management as required.

• Drafting reports detailing work performed and conclusions reached, which require minimal editing and provide a clear message including suggested corrective and/or remedial action.

• Developing metrics and reporting measures as directed and reporting results to management.

• Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate, to Management.

• Perform reviews and analysis utilizing internal and third-party research tools.

• Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.

• Mentor colleagues/peers on internal AML policies, rules, and regulations.

• Inform senior management about issues that may involve rule violations or potential liability.

• Maintain currency in laws and regulations pertaining to anti-money laundering compliance.

• Perform other duties and responsibilities as assigned.

Skills:

• Customer Due Diligence, Enhanced Due Diligence, and other KYC policies and procedures.

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

• Rules and regulations of the USA PATRIOT Act.

• Experience with investigative techniques and report writing.

• Securities industry knowledge and/or financial services industry experience.

• Fundamental investment concepts, practices, and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

• Administering anti-money laundering policies and procedures.

• Planning and scheduling work to meet regulatory organizational, and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Communicate effectively, both orally and in writing.

• Independently research and resolve issues while working across teams to acquire information.

• Provide a high level of customer service.

• Establish and maintain effective professional working relationships at all levels of the organization.

• Handle highly confidential information professionally and with appropriate discretion.

• Maintain currency in anti-money laundering rules and regulations, compliance examination techniques, and best practices.

Education and Experience

• Bachelor’s Degree (B.A.) from a four-year college or university in a related field and a minimum of 3-5 years’ experience in compliance in the securities or banking industry with a focus in anti-fraud/Anti-Money laundering activities.

• ~OR ~

• Any equivalent combination of education, training and/or experience approved by Human Resources.

Licenses/Certifications

• CAMS is required or the ability to obtain within 18 months of employment or a designated time frame established by the manager.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total