Sr. Analyst AML & Financial Crimes Financial Intelligence Unit

Responsibilities:

• 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.

Skills:

• 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 effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Provide a high level of customer service.

• Maintain confidentiality.

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

Education/Previous Experience:

• Bachelor’s Degree from a four-year college or university in a related field and 3-5 years AML investigatory and analysis experience.

• ~OR ~

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

Licenses/Certifications:

• CAMS certification required or ability to obtain within 6 months of employment (CIU & FIU associates)