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Job SummaryOur Client, in the financial industry with experience in capital market, spanning electronic execution, low latency, algorithmic trading, transactional banking and core market infrastructure is looking for a Compliance Analyst to join their team.
This position is responsible for conduct the necessary jobs to assurance that the company is following the regulation of BSA.
- Responsible for the KYC approval of requests for new accounts.
- Responsible for monitoring suspicious transactional activities transactions.
- Assist the Compliance Director with the external audit, Local and Federal Regulators audit, including de Management Report Response.
- Perform Money Laundering Investigations.
- Coordinate with the Operations Department and Account Executives to gather all necessary information and evidence,
- Review the OFAC and 314a list against all Noble Bank customers.
- Complete the SAR (Suspicious Activity Report) and submit to the Compliance Director
- Assist or provide internal training BSA if necessary.
- Write reports with the result of training,
- Assist to maintain database of all employees who receive formal training to assure that they have received training at least annually.
- Assist to update the policies regarding changes in BSA, AML and KYC Policies.
- Assist for the recollection of Risk Assessment data for the final report preparation
- Assist the Compliance Director with the creation and updating procedures, reports and any other duties as needed
- Assist the Compliance Director and Legal Counsel with Subpoenas, Summons and Forfeitures.
- Responsible for the Preparation of the monthly Report for Overseas Transfers over $ 5,000 and send it to the Commissioner of Financial Institutions.
- Assist the Compliance Director in any other task related to the Compliance Department
- Bachelor's degree in Finance, Accounting or related field
- 2+ years of experience in AML reviews within a Financial Institution
- Computer savvy
- Ability to work under pressure and in teamwork
- Solid time management and problem solving skills
- Great interpersonal skills
- Fully Bilingual (written and verbal)