Leeds Professional Resources
We are seeking an AML Analyst to join our client's team. This role investigates suspicious financial activity (alerts) using monitoring systems, conducts deep-dive research on clients (CDD/EDD), files Suspicious Activity Reports (SARs), ensures OF/sanctions compliance, and collaborates with Legal/Ops, focusing on FINRA/SEC rules to prevent money laundering, terrorism financing, and fraud within the securities environment, requiring strong analytical, communication, and risk management skills.
Core Responsibilities
Alert Investigation : Analyze alerts from transaction monitoring systems (like Actimize) for potential illicit financial activity. SAR Filing : Prepare and file Suspicious Activity Reports with FinCEN for high-risk cases within regulatory deadlines. Customer Due Diligence (CDD/EDD) : Perform enhanced due diligence on high-risk clients, including Politically Exposed Persons (PEPs) and complex structures, checking for negative news. Regulatory Compliance : Ensure adherence to BSA/AML, OFAC, Patriot Act, FINRA, and SEC regulations. Sanctions Screening : Review and resolve OFAC/sanctions-related transaction alerts. Reporting & Escalation : Document investigations, elevate findings to management, and potentially respond to law enforcement requests. Policy & Training : Assist in updating AML policies, procedures, and delivering internal training. Cross-Functional Collaboration : Work with Legal, Operations, Tech, and business units on compliance matters. Key Skills & Qualifications
Knowledge : Strong understanding of AML/BSA regulations, money laundering typologies, and the securities industry. Analytical : Ability to analyze complex data, identify patterns, and make informed conclusions. Technical : Proficiency with AML software, internal systems, and research tools. Communication : Excellent written and verbal skills for reports and inter-departmental communication. Organizational : Strong time management, prioritization, and multitasking abilities. Education/Experience : Bachelor's degree often required, with experience in compliance, audit, or financial crime.
#J-18808-Ljbffr
Alert Investigation : Analyze alerts from transaction monitoring systems (like Actimize) for potential illicit financial activity. SAR Filing : Prepare and file Suspicious Activity Reports with FinCEN for high-risk cases within regulatory deadlines. Customer Due Diligence (CDD/EDD) : Perform enhanced due diligence on high-risk clients, including Politically Exposed Persons (PEPs) and complex structures, checking for negative news. Regulatory Compliance : Ensure adherence to BSA/AML, OFAC, Patriot Act, FINRA, and SEC regulations. Sanctions Screening : Review and resolve OFAC/sanctions-related transaction alerts. Reporting & Escalation : Document investigations, elevate findings to management, and potentially respond to law enforcement requests. Policy & Training : Assist in updating AML policies, procedures, and delivering internal training. Cross-Functional Collaboration : Work with Legal, Operations, Tech, and business units on compliance matters. Key Skills & Qualifications
Knowledge : Strong understanding of AML/BSA regulations, money laundering typologies, and the securities industry. Analytical : Ability to analyze complex data, identify patterns, and make informed conclusions. Technical : Proficiency with AML software, internal systems, and research tools. Communication : Excellent written and verbal skills for reports and inter-departmental communication. Organizational : Strong time management, prioritization, and multitasking abilities. Education/Experience : Bachelor's degree often required, with experience in compliance, audit, or financial crime.
#J-18808-Ljbffr