Responsibilities
The Email Surveillance Analyst / Associate will be responsible for :
- Executing the Firm’s AML Program and related procedures
- Conducting ongoing monitoring of clients by reviewing negative news and sanctions screening alerts
- Advising on AML and KYC requirements
- Maintaining client risk ratings
- Contributing to the risk assessment process
- Assisting with enhanced due diligence requests and AML reporting
- Assisting in key projects and initiatives related to assessing and mitigating exposure to money laundering and reputational risk-relevant activities
- Contributing to other functions and projects within the Core Compliance team, as needed
Qualifications
- Bachelor's degree
- 1-4 years of relevant experience in the investment banking industry, in a Legal or Compliance role, or at a financial services regulator
- Proficiency in Microsoft Office Suite : Word, Excel (pivot tables) and PowerPoint
- Demonstrates initiative
- Excellent attention to detail
- Ability to work independently as well as with a team
- Strong communication skills
- Ability to exercise judgment and discretion, and to maintain confidentiality
Desired skills
- Graduate degree or JD
- Experience with BSA / AML Regulations within the investment banking industry
- Strong knowledge of Know Your Customer, Customer Identification Program and CDD requirements
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