"Alerted.org

Under limited supervision, specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, and/or certification are used to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Assists on projects of moderate scope and complexity and serves as a technical advisor to various business lines. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research, and resolve problems.

Responsibilities

+ Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations.

+ Documenting and reporting the investigation findings in the case management system and preparing reports to management as required.

+ Drafting reports detailing work performed and conclusions reached, which require minimal editing and provide a clear message including suggested corrective and/or remedial action.

+ Developing metrics and reporting measures as directed and reporting results to management.

+ Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate, to Management.

+ Perform reviews and analysis utilizing internal and third-party research tools.

+ Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.

+ Mentor colleagues/peers on internal AML policies, rules, and regulations.

+ Inform senior management about issues that may involve rule violations or potential liability.

+ Maintain currency in laws and regulations pertaining to anti-money laundering compliance.

+ Perform other duties and responsibilities as assigned.

Skills:

+ Customer Due Diligence, Enhanced Due Diligence, and other KYC policies and procedures.

+ Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

+ Rules and regulations of the USA PATRIOT Act.

+ Experience with investigative techniques and report writing.

+ Securities industry knowledge and/or financial services industry experience.

+ Fundamental investment concepts, practices, and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

+ Administering anti-money laundering policies and procedures.

+ Planning and scheduling work to meet regulatory organizational, and regulatory requirements.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Communicate effectively, both orally and in writing.

+ Independently research and resolve issues while working across teams to acquire information.

+ Provide a high level of customer service.

+ Establish and maintain effective professional working relationships at all levels of the organization.

+ Handle highly confidential information professionally and with appropriate discretion.

+ Maintain currency in anti-money laundering rules and regulations, compliance examination techniques, and best practices.

Licenses/Certifications

+ CAMS is required or the ability to obtain within 18 months of employment or a designated time frame established by the manager.