ASSOCIATE, FINANCIAL CRIME COMPLIANCE

Associate, Financial Crime Compliance

Compile, analyze, and summarize financial and economic data and other information related to companies within specified industries or financial markets. Utilize various transaction monitoring systems to monitor and surveil transactions globally that may be probative of money laundering, terrorist financing, fraud, and other forms of misconduct. Independently perform in-depth investigations of potentially suspicious activity happening with client accounts. Fast-tracking reviews and offering timely compliance guidance for urgent live escalation requests. Complete daily monitoring of account activity, as well as conducting high-level investigations of potentially suspicious activity. Conduct due diligence, including public domain and open-source searches for negative information. Train new team members on identifying risk, drafting reports, presenting relevant facts and data to key stakeholders and senior managers. Draft investigative reports to document the reviews conducted surrounding potentially suspicious activity. Review daily surveillance of brokerage accounts for anomalous high-risk activity and perform in-depth investigations of potentially suspicious activity. Such investigations may require reviewing historical transactional activity and interaction with other compliance representatives, as well as the business and reviewing public records for negative information. Present risk-relevant data to appropriate stakeholders including senior managers.

Job Requirements : Bachelor's degree (U.S. or foreign equivalent) in Finance, Mathematics, Economics, Accounting, International Studies, Legal Studies, Business Analytics, or a related analytical field and three (3) years of experience in the job offered or a related compliance, risk management, or finance role. Prior experience must include three (3) years with : performing due diligence using internal and external sources to assess and evaluation risks; gathering complex sets of transaction facts and quickly distilling them down to the key relevant data points necessary to provide compliance guidance; analyzing fact patterns and compiling regulatory reports for compliance and reporting purposes; verbally presenting complex fact patterns outlining findings and subsequent restrictions that is customized to a particular audience including senior management; working with and soliciting relevant information from business-side personnel; and working with anti-money laundering regulations, including the relevant provisions of the Bank Secrecy Act and the USA Patriot Act.