AML Compliance Analyst
The ideal candidate for this position has experience with AML compliance requirements and risk-based audits.
Key Skill Responsibilities:
- Coordinating AML surveillance results and inquiries with appropriate business line management and team members.
- Conducting comprehensive compliance reviews and risk assessments of business activities, practices and controls; identifying and mitigating potential areas of compliance vulnerability and risk, developing and implementing corrective action plans for resolution of problematic issues, providing guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.
- Partnering with other AML team members to oversee and enhance existing surveillance; forecasting surveillance requirements, needs and wants; preparing comprehensive management reports of status and progress of surveillance initiatives.
- Overseeing the maintenance of required books and records.
Job Requirements:
- Not less than two years of financial industry compliance experience, ideally focused on U.S. and foreign broker-dealers and their customers.
- Effective leadership, superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters.
- Strong verbal and written communication skills.
- Highly motivated with capability to work with minimum supervision on a wide range of matters.
- Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
- Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.
- Experience with preparing regulatory responses.
- Strong project management and general office software application skills.
- Willingness to pursue securities licensing including Series 7 and 24.
- Flexibility to work overtime as required.
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