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Compliance Analyst

3 months ago

New York, New York, United States Mission Staffing Full time

Our client, a global investment management firm based in New York, NY, is seeking a Senior Onboarding Professional to join their Global AML program. This person will be tasked with overseeing the investor onboarding process as well and will be responsible for adherence to client regulatory requirements. Responsibilities include performing deep dives into alerts for unusual activity, sanctions review, conducting enhanced due diligence reviews, transactional/deal due diligence and reviewing beneficial ownership information. Candidates must have a strong understanding of the investor onboarding process as well as an understanding of corporate structures including companies, trusts, partnerships, and PE funds.

Ensure you read the information regarding this opportunity thoroughly before making an application.

Responsibilities:

  • Review new client, new matter and CDD forms to verify compliance with AML and CDD policies.
  • Monitor changes to AML rules and regulations across designated jurisdictions and assist the Firm's Compliance Officer, Compliance Manager or Senior Compliance Specialist, and Compliance Partners with updating/implementing applicable policies and procedures.

Requirements:

  • Bachelor's degree required.
  • At least five years of related experience at a large financial institution, preferably asset or investment management.
  • Strong knowledge of AML/KYC requirements or Economic Sanctions laws and regulations gained within a corporate environment.
  • Knowledge and understanding of the various financial products offered across business lines
  • Knowledge of Corporate Transparency Act (CTA)