FIU Enhanced Due Diligence Specialist
FIU Enhanced Due Diligence Specialist
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Job Description
Preferred Qualifications:
- 2 year industry experience of service center broker dealer and compliance with a focus on antimoney laundering and fraud
- Knowledge of life annuity brokerage and investment advisory products and operations
- Knowledge of Equitables products processes and controls of the organization activities
- Demonstrated ability to influence others in a team environment
- Highly analytical with a controls mindset
- Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands
- Selfmotivated with time management skills
- Proficient skills in Microsoft Office applications particularly Word and Excel.
Skills:
Data Gathering and Reporting:Knowledge of tools techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company.
Data Integrity:Knowledge of objectives terminologies and approaches of data integrity; ability to ensure the accuracy and consistency of data in various business environments.
Document Management:Knowledge of document management; ability to categorize integrate update document and distribute business information in a secure effective way.
Effective Communications:Understanding of effective communication concepts tools and techniques; ability to effectively transmit receive and accurately interpret ideas information and needs through the application of appropriate communication behaviors.
Accuracy and Attention to Detail:Understand the necessity and value of accuracy; ability to complete tasks with high levels of precision.
Creative and Innovative Thinking:Think creatively and innovatively embracing innovative methods to demonstrate a point to keep the learner engaged.
Active Listening: Practice active listening to make people feel comfortable to ask questions and provide their point of view as part of the training.
ABOUT EQUITABLE
At Equitable were a team committed to helping our clients secure their financial wellbeing so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking working and leading differently where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.
We are continuously investing in our people by offering growth internal mobility comprehensive compensation and benefits to support overall wellbeing flexibility and a culture of collaboration and teamwork.
We are looking for talented dedicated purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.
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Equitable is committed to providing equal employment opportunities to our employees applicants and candidates based on individual qualifications without regard to race color religion gender gender identity and expression age national origin mental or physical disabilities sexual orientation veteran status genetic information or any other class protected by federal state and local laws.
NOTE: Equitable participates in the EVerify program.
If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position please contact Human Resources at (212)or email us at .
At Equitable our power is in our people.
Were individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here youll work with dynamic individuals build your skills and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential
The Equitable Law Departments Mission is to Serve as Equitables trusted counsel empowering Equitable to pursue its noble purpose by upholding the highest standards forging collaborative relationships and delivering creative solutions.
At Equitable we have reimagined how we want to work and are guided by principles of inclusivity flexibility and connection. Come join Equitables Financial Intelligence Unit and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment and this position is based in our Charlotte NC office.
The AML Enhanced Due Diligence Specialist (AML EDD Specialist) is responsible for assessing the AML and reputational risk associated with higher risk client types as escalated through the first line operations and business units during onboarding and supports customer due diligence processes.
Specific responsibilities include but are not limited to:
- Assist with reviews of FinCen 314a and other screening regulatory required functions and processes start to finish including coordination responsibilities with business unit personal in performing this responsibility.
- Supports the companys customer screening process and procedures in place to detect high risk activities requiring enhanced due diligence.
- Assist in the enhancement and review of Client Risk Scoring Client Identification and KYC documentation oversight requirements. Conduct reviews of client documentation/information submitted by business units; A good understanding of Corporate Formation Documents is needed.
- Responsible for collecting and analyzing documents related to account opening requirements in order to identify control persons and underlying beneficial owners.
- Enhance and manage a risk identification strategy that continually identifies new business risks and lessons learned from applicable regulatory enforcements.
- Monitor review and report unusual client/ policy activity to lead investigator. Assist AML investigations with analysis as needed.
- Perform research and provide guidance to inquiries from employees business managers internal and external auditors by providing information and guidance in a timely manner.
- Handle other duties as assigned to assist with the effective administration of the AML and KYC Policies.
The base salary range for this position is $55000 $60000. Actual base salaries vary based on skills experience and geographical location. In addition to base pay Equitable provides compensation to reward performance with base salary increases spot bonuses and shortterm incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.
Equitable Pay and Benefits: Equitable Total Rewards Program
Required Experience:
Unclear Seniority
Employment Type
Full-Time
