Senior AML CIP​/KYC Associate

Responsibilities

• Reviews client files for conformance with applicable AML policies, procedures and regulatory requirements for new WM account openings
• Provides support and functional knowledge as it relates to compliance with applicable AML laws, rules and standards
• Identifies and escalates to Global AML management any regulatory compliance risks associated with the file reviews completed
• Carries out business-related activities required to support Global AML Compliance guidelines
• Provides support as requested by Global AML Management to resolve compliance issues
• Uses existing procedures to solve standard problems
• Conducts and adequately documents testing to assess compliance with and adherence to regulations and policies/procedures
• Applies analytical skills to review information and determine potential control weaknesses or exceptions to policies/processes
• Summarizes and communicates testing results in clear, concise language

• Financial Institution Regulatory and Compliance knowledge including AML, Customer Identification Program (CIP), Enhanced Due Diligence (EDD) and Know Your Customer (KYC) regulatory requirements and Economic Sanctions laws and regulations
• Strong analytical, interpersonal, verbal and written communication skills
• Analytical skills to identify exceptions to policies/procedures
• Strong written communication skills to document work completed and summarize findings
• Strong organizational skills