Sr. Analyst AML & Financial Crimes Financial Intelligence Unit

Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Leads 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.

Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Leads 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

• Investigate potentially suspicious activity that may arise from account surveillance, branch escalations, risk alerts, regulatory investigations, and matters otherwise escalated to the AML Group by the Business, Compliance, Legal, Risk or other Firm divisions where account transactional activity is at issue.
• Conduct appropriate due diligence related to the potential suspicious activity by reviewing client background information, securities transactions, and fund movements as necessary.
• Conduct due diligence searches in various third-party and internal databases.
• Prepare and lead AML trainings of targeted divisions within the Firm.
• Perform analysis and reviews utilizing internal and third-party research tools.
• Administers policies and procedures to ensure compliance with regulations related to money laundering included in the US PATRIOT Act.
• Monitor regulatory developments and industry trends to facilitate incorporation into the Firms’ AML program.
• Trains colleagues/peers on internal AML policies, rules, and regulations.
• Develops documentation related to AML issues to enhance corporate policies.
• Maintains fraud prevention system, including testing and installation of software updates.
• Informs senior compliance management about issues that may involve rule violations or potential liability.
• Maintains currency in laws and regulations pertaining to anti-money laundering compliance.
• Performs other duties and responsibilities as assigned.

• Concepts, practices, and procedures of the securities industry and/or banking compliance reviews.
• Rules and regulations of the US PATRIOT Act.
• 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.
• Analyzing transactional activity to identify suspicious transactions.
• Developing and delivering technical training to others.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Making rule-based and analytical decisions.
• Gather information, identify linkages and trends and apply findings to assignments.
• 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…