AML Analyst
2 days ago
Rockefeller Capital ManagementRockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $151 billion in client assets as of December 31, 2024.PositionThe AML Analyst plays a crucial role in supporting the organization's efforts to detect, prevent, and report money laundering activities and ensure compliance with AML and sanctions regulations. This entry-level position provides an excellent opportunity to develop skills and gain experience in financial crime compliance and AML operations.ResponsibilitiesEvaluate alerts generated by the Firm's transaction monitoring system (Actimize) to identify potentially suspicious transactions and customers who may pose a financial crime risk. Escalate findings in accordance with internal policies and regulatory requirements.Review and analyze real-time OFAC and sanctions-related transaction alerts to ensure compliance with applicable laws and regulations. Due to payment processing times, the AML Analyst will be required to work until 6 pm, 2-3 times per week.Conduct fraud and AML investigations into activities that may trigger a SAR filing requirement.Participate in regular internal and external training sessions to stay current on AML and sanctions regulations, industry best practices, and internal compliance policies.Assist in drafting team training, policies and procedures, and presentations.Work closely with other departments, including Compliance, Legal, Technology, and Operations, to ensure a coordinated approach to AML and sanctions compliance efforts.QualificationsBachelor's Degree required1-3 years of experience in reviewing customers and customer transactions for potentially suspicious activity and performing AML-related investigations using automated AML monitoring softwareKnowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and FinCEN/SARExperience in securities within Private Wealth Management, ideally with a Broker-Dealer or Registered Investment AdvisorSIE Exam and Series 7 are preferredACAMS Certification (or willingness to obtain)SkillsActimize Essentials experience is preferredExcellent research skills, including online research tools (LexisNexis and/or WorldCheck is a plus)Strong writing, analytical, decision making/problem solving and communication skillsAble to multitask and complete projects timelyStrong organizational and time management skillsExperience drafting SAR NarrativesDisclosureRockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics").Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
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Stamford, Connecticut, United States Rockefeller Capital Management Full timeAbout Rockefeller Capital Management Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from...
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