Compliance Analyst, Financial Crimes Investigation

Compliance Analyst, Financial Crimes Investigation

Responsibilities

• Provides support for compliance programs including but not limited to identifying issues, generate reports, training, and other duties, as assigned.
• Detects and advises management of potential Compliance issues and recommends procedural changes.
• Uses specific knowledge of Financial Crimes to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience.
• Reviews and validates relevant documents in conformance with applicable AML policies, procedures and regulatory requirements and liaise with front client facing teams
• Completes investigations to determine if a financial crime (fraud, money laundering, or terrorist financing) has occurred and involves Northern Trust accounts, clients, operations, or employees
• Conducts investigation processes and/or workflow; produces metrics used by management in monitoring work volumes, status, and productivity
• Assists in preparation of management reports to communicate risk exposures and the sources of those exposures to internal committees and senior management
• Supports team in adhoc activities related to reporting
• Works within standardized procedures and practices to achieve objectives and meet deadlines

Qualifications

• Background in Transaction Monitoring is highly preferred
• A College or University degree and/or relevant proven work experience is required
• At least 2 years of experience in Surveillance or any compliance related process in a Financial Institution or equivalent preferred Any relevant financial certifications is preferred
• Requires ability to communicate in a clear, concise and effective manner (verbal and written)
• Requires general knowledge of Global/Regional Financial Institution regulations and bank program implementation activities
• Displays confidence and expertise to advise management and the business
• Applies earned experience in providing compliance advisory/consultancy and operational support
• Requires proactivity and minimal supervision
• Deals effectively with different personalities to address competing deadlines
• Applies general knowledge of business developed through education or past experience
• Exchanges straightforward information, asks questions and checks for understanding