Scope of Role
The AML Global Financial Intelligence Unit – Compliance position supports Functional Compliance’s Financial Intelligence Unit (FIU). The FIU team is responsible for centralized monitoring of suspicious transactions and investigations where suspicious activity is present. The Compliance Analyst works independently on assignments within the scope of established guidelines practices and consults with senior staff where clarification or exception to policy may be required and may provide functional guidance to less experienced staff. Individuals work independently on complex projects and issues. The FIU provides support and guidance to the foreign-based FIU teams. In this role, the FIU Trade Specialist will formulate strategies for investigations with an understanding of bonds, mutual funds, stocks, options, hedge funds, etc. and act as a subject matter expert to provide specialist advice, guidance and direction to team members on Securities, Broker Dealer money laundering, market abuse, and other crime related issues in support of achievement of organizational objectives and regulatory requirements.
Major Responsibilities: Formulating strategy for investigations with an understanding of bonds, mutual funds, stocks, options, hedge funds, and income trusts etc...Act as subject matter expert to provide specialist advice, guidance and direction to team members on Securities, Broker Dealer money laundering, market abuse, other crime related issuesDeveloping investigation reports, recommending courses of actionInvestigations relating to breaches of securities laws, governance and compliance mattersInvestigations into improper or unauthorized trading and market manipulationManage assigned investigations ensuring timely and prompt recommendations (SAR/No SAR, escalation recommendations such as Account Closure) and reports are made to management.Coordinate in-depth research and documentation when unusual activity is detectedProvide recommendations to senior management on actions/strategies to mitigate money laundering, market abuse, or other crimes identified.Conducting effective presentations to various groups, both large and small Analytical (problem solving) skills with good objectivity and discretionPerform QA on the triage function – multiple staff from India and Boston
Education/ Certifications: Bachelor’s degree or equivalent with focus in business, accounting, finance, or economics required.ACAMS Certification Preferred
Skills and Experience: Understands AML typologies around investments and ability to uncover risk within the bankAbility to review the various systems utilizing data analytics techniquesSecurities Courses – benefitKnowledge of the securities industry and operations.Strong understanding of investment products such as: bonds, mutual funds, stocks, options, hedge funds, and income trusts etc...10 > years of relevant business experience in both compliance and securitiesAnalytical (problem solving) skills with good objectivity and discretionAnalyze AML Security and identifying potential areas of risk (financial, reputational, and regulatory).Strong communication skills ability to deal with management and staffExceptional organizational skills with the ability to execute work assignments quicklyDemonstrated exceptional level of accuracy and detail for reportingPC literacy, with good working knowledge of the Microsoft office applications (Access, Word, Excel)SQL knowledge and strong analytical skills
Travel: Minimal travel required
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