- Conduct transaction surveillance investigations, identifying potential financial anomalies and suspicious activities
- Assist with reviewing exceptions relating to Client Identification Program, Economic Sanctions screening, and transaction monitoring
- Support the development and execution of Anti-Money Laundering (AML) and economic sanctions compliance risk assessments to address regulatory risks for our Compliance program
- Analyze regulations and their applicability to our products and services, and assist with the development of creative and compliant processes and controls
- Execute projects as directed by the manager, ensuring timely and accurate completion while seeking guidance when needed
- Monitor adherence to policies and procedures, and test the effectiveness of processes and controls
- Identify potential areas of weakness and work with partners to strengthen the associated control environment.
- Monitor the implementation of corrective actions and escalate when appropriate
- Foster collaboration and provide cross-functional support within the department, including areas such as fincrime & fraud, regulatory complaints, product and marketing compliance, and the overall compliance program
- All other duties as assigned
What We’re Looking For:
- 2+ years of financial crimes experience in Financial Services
- Prior professional services, Fintech, or Financial services experience
- ACAMS designation
- Demonstrated knowledge and application of financial crimes laws and regulations (BSA/USA PATRIOT Act/AMLA/FinCEN regs/OFAC regs/ABAC)
- Regulatory experience with Fraud & Disputes
- Demonstrated knowledge of compliance/regulatory risks, processes, and control frameworks, and the ability to design and evaluate the effectiveness of controls embedded within business processes
- Prior professional services, financial services, or regulatory experience
- Clear, concise, and persuasive written and verbal communication
- Strong orientation to deadlines and detail
- Commercially-oriented creative thinker and problem solver
- Strong project management, critical thinking, and analytical skills
- Ability to embrace and champion our core values
- Mature, professional and of unquestionable integrity, carrying out excellent judgment when handling sensitive information
- Proficiency in Excel/Sheets (VLOOKUP, INDEX MATCH, advanced conditional formatting, pivot tables and reporting, macros and VBA) and PowerPoint/Slides
