This job ad has been posted over 40 days ago...
AML Suspicious Activities Group/KYC/CIP - Associate
at The Compliance Search Group in New York, NY
The KYC/CIP Group is seeking a surveillance associate with prior brokerage and/or banking experience. The role would entail daily analyses and monitoring of client information as well as conducting high-level investigations of potentially suspicious activity or activity that could potentially damage the firm’s reputation. The senior surveillance analyst would be expected to perform due diligence, as well as draft risk analyses reports. The senior surveillance analyst would also be expected to provide guidance to more junior analysts and shoulder certain supervisory functions, such performing quality assurance reviews. The ideal candidate would have strong investigative skills, a background in the securities or banking industry, the ability to collaborate with others, prior compliance and Anti-Money Laundering experience.
Principal Responsibilities
• Daily surveillance of client accounts for anomalous, high risk activity or negative media information.
• Performing in-depth investigations of potentially suspicious activity or negative information. Such investigations may require reviewing historical trade activity, interaction with other compliance representatives as well as the business side and reviewing public records for negative information.
• Providing day-to-day guidance to more junior analysts as well as more formal supervision.
• Conducting peer reviews of work completed by more junior analysts to ensure compliance with applicable anti-money laundering regulations as well as the Firm’s policies and procedures.
Qualifications
• Prior compliance and AML experience required. Prior brokerage experience with extensive knowledge of financial markets and products is preferable.
• Strong analytical and risk assessment skills.
• Ability to adapt to new changes and new challenges.
• Ability to prioritize work flows and ensure deadlines are met.
• Ability to forge strong relationships with colleagues and clients.
• Ability to work independently and yet still be team-oriented.
• Excellent written and verbal communication skills.
• Proactive, detailed oriented, self motivated and well-organized.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Principal Responsibilities
• Daily surveillance of client accounts for anomalous, high risk activity or negative media information.
• Performing in-depth investigations of potentially suspicious activity or negative information. Such investigations may require reviewing historical trade activity, interaction with other compliance representatives as well as the business side and reviewing public records for negative information.
• Providing day-to-day guidance to more junior analysts as well as more formal supervision.
• Conducting peer reviews of work completed by more junior analysts to ensure compliance with applicable anti-money laundering regulations as well as the Firm’s policies and procedures.
Qualifications
• Prior compliance and AML experience required. Prior brokerage experience with extensive knowledge of financial markets and products is preferable.
• Strong analytical and risk assessment skills.
• Ability to adapt to new changes and new challenges.
• Ability to prioritize work flows and ensure deadlines are met.
• Ability to forge strong relationships with colleagues and clients.
• Ability to work independently and yet still be team-oriented.
• Excellent written and verbal communication skills.
• Proactive, detailed oriented, self motivated and well-organized.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Published at 23-03-2010
Viewed: 68 times
Viewed: 68 times