AML/KYC Compliance Analyst

Overview

The AML Analyst position reports to the Firm's AML Compliance Officer, and is responsible for performing various duties under the AML Compliance Program involving activity monitoring, KYC/onboarding, internal and external reporting, and assisting the AML Compliance Officer in all aspects of the program.

JOB RESPONSBILITIES

Perform reviews of suspicious activity monitoring reports, and escalate those results which require attention.

Perform review of alerts generated pursuant to due diligence screening of customer and other names against media, government, and other sources, including sanctions lists and escalate those results which require attention.

Assist with all aspects of KYC, including the performance of quality control reviews of information and documents relating to customers, non-customer counterparties and other related parties.

Work with business personnel to administer periodic reviews.

Perform internal system searches, and due diligence searches of internet and similar sources, as necessary.

Assist in the investigation of suspicious activity and the filing of Suspicious Activity Reports.

Draft reports as required by the Firm's parent bank, and due diligence materials as required by certain counterparties.

Assist the AML Compliance Officer with all other aspects of the Firm's AML Program, as necessary.

JOB REQUIREMENTS:

At least five years of AML experience, preferably at a US institutional broker-dealer, and preferably having managed others in an AML/KYC capacity; knowledge of Bank Secrecy Act and USA PATRIOT Act regulations and requirements

CAMS Certified Preferred, though not required

Proficiency in MS Office applications

Excellent judgment, analytical and research skills, as well as interpersonal and communications skills (both written and verbal)

Must be a highly detail-oriented and highly organized self-starter, with the ability to multi-task and function independently and effectively under time pressure