Compliance Analyst

2 months ago

Dallas, United States BBAM Full time

BBAM is a leading player in commercial aircraft leasing, financing and management providing over 200 airline customers in more than 50 countries with fleet and financing solutions over its 30+ year history. In addition, BBAM provides asset management services to leasing companies, aviation investors and financial institutions covering more than 500 aircraft valued in excess of $18 billion and is registered with the SEC as a Registered Investment Advisor.


This role will focus on responding to KYC requests from vendors and lenders, reviewing new prospects, mitigating our risk, and validating KYC documentation to meet our standards. This position will report to the Compliance Director. The Compliance Analyst is responsible for supporting customer and compliance certification audits, performing quarterly security assessments, monitoring control effectiveness and compliance framework updates, managing evidence, and assisting with tool administration.


The Compliance Analyst will need to travel to California or Texas for training as needed.  


KEY RESPONSIBILITIES

  • Serve as the primary contact for all KYC requests from third parties, including refresh requests, and satisfy their time sensitive requests.
  • Maintain and update UBO registers.
  • Collaborate closely with the Compliance Officer and internal/external stakeholders at the company to iterate and improve KYC systems and processes.
  • Act as a liaison with other departments within the company to further promote the company’s Compliance Program
  • Assist Compliance Officer with establishing and following the compliance testing calendar along with other annual compliance review processes.
  • Periodical review of KYC records as to completeness, including verifying that due diligence has been performed and that the files are current and up to date. Conduct additional ad hoc compliance assignments as requested while maintaining the highest ethical standards.


EXPERIENCE/KNOWLEDGE/QUALIFICATIONS REQUIRED


  • 4 Year Degree in Finance, Pre-Law, or Business Administration
  • 2-3 years prior experience with AML monitoring and screening and demonstrated experience in KYC within the financial service industry.
  • 3-5 years prior experience in private funds, fintech, or commercial bank strongly preferred, or other service business involving regulatory or organizational management.
  • Experience with AML monitoring and screening and demonstrated experience in KYC within the financial service industry.
  • Basic knowledge of SEC laws and regulations applicable to registered investment advisers
  • Familiarity with aircraft leasing and key industry risks (preferred)
  • A thorough understanding of rules and regulations governing compliance programs for investment managers.
  • Strong analytical skills, can demonstrate a good understanding of due diligence and AML regulations, policies and procedures, and ethical standards
  • A passionate desire to learn, grow and develop in a constantly changing and fast-paced work environment. 
  • Skill and comfort in working in an automated environment. Company uses Microsoft Office (Excel, Word, Outlook, etc.), Peoplesoft and various custom databases.
  • Familiarity with Thomson Reuters WorldCheck, preferred 

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