Guggenheim Investments
AML, ABC and Sanctions Compliance Officer
Guggenheim Investments, New York, New York, us, 10261
AML, ABC and Sanctions Compliance Officer
Interact with deal team to collect customer identification and beneficial ownership information Conduct Know Your Customer due diligence on customers, counterparties, and third-party Intermediaries to identify and understand: Source of funds, or use of proceeds as appropriate Direct and indirect sanctions risks Bribery and other financial crime risks Other negative news risks Determine appropriate customer risk profiles and escalate AML-related issues Obtain AML certifications from clients/counterparties as appropriate Review business travel to high-risk countries Conduct annual review of high-risk clients and periodic review of medium/low risk clients Respond to external KYC requests Respond to AML-related escalations from various teams including Human Resources, Accounts Payable, CSR and other teams Support the AML Director in assessing legal and reputational issues involving gifts and entertainment provided to a public official Assist with quarterly and periodic AML-related testing Manage screening tool for GPIM users and trouble-shoot issues Assist in updating policies, procedures, and controls Assist in ad hoc reviews to identify potential AML-related gaps Qualifications
Bachelor’s Degree, Law degree is a plus Requires knowledge of the Patriot Act, Bank Secrecy Act, Investment Advisors Act of 1940, and related rules Preferred knowledge of international sanctions and bribery/corruption risk areas Preferred Qualifications
Strong communication skills, attention to detail, multi-tasking ability and effectiveness in a fast-paced environment Ability to collaborate with other offices and periodic travel, as needed Must be proactive, solutions-oriented, innovative; responsive to client needs, collaborative, and energized by the open exchange of ideas Must adapt quickly and appropriately to the constant evolution of the company and industry Salary Range
Annual base salary between $115,000.00-$130,000.00 The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience.
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Interact with deal team to collect customer identification and beneficial ownership information Conduct Know Your Customer due diligence on customers, counterparties, and third-party Intermediaries to identify and understand: Source of funds, or use of proceeds as appropriate Direct and indirect sanctions risks Bribery and other financial crime risks Other negative news risks Determine appropriate customer risk profiles and escalate AML-related issues Obtain AML certifications from clients/counterparties as appropriate Review business travel to high-risk countries Conduct annual review of high-risk clients and periodic review of medium/low risk clients Respond to external KYC requests Respond to AML-related escalations from various teams including Human Resources, Accounts Payable, CSR and other teams Support the AML Director in assessing legal and reputational issues involving gifts and entertainment provided to a public official Assist with quarterly and periodic AML-related testing Manage screening tool for GPIM users and trouble-shoot issues Assist in updating policies, procedures, and controls Assist in ad hoc reviews to identify potential AML-related gaps Qualifications
Bachelor’s Degree, Law degree is a plus Requires knowledge of the Patriot Act, Bank Secrecy Act, Investment Advisors Act of 1940, and related rules Preferred knowledge of international sanctions and bribery/corruption risk areas Preferred Qualifications
Strong communication skills, attention to detail, multi-tasking ability and effectiveness in a fast-paced environment Ability to collaborate with other offices and periodic travel, as needed Must be proactive, solutions-oriented, innovative; responsive to client needs, collaborative, and energized by the open exchange of ideas Must adapt quickly and appropriately to the constant evolution of the company and industry Salary Range
Annual base salary between $115,000.00-$130,000.00 The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience.
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