Current jobs related to AML Governance - Chicago - Howard-Sloan Search
-
Data Analyst
1 week ago
Chicago, Illinois, United States Insight Global Full timeJob Overview:Insight Global is seeking a highly skilled Data Analyst to support the execution of projects related to transaction monitoring, screening, customer risk rating systems, and reporting systems.Key Responsibilities:Support the delivery of projects, including initial requirements, business research, data analysis, recommendations, testing, and...
-
Senior AML Risk Assessment Officer
4 weeks ago
Chicago, Illinois, United States Canadian Imperial Bank of Commerce Full timePosition OverviewThe role of the Enhanced Due Diligence Officer focuses on the thorough assessment of high-risk clientele within the financial services sector. This position entails a detailed examination of onboarding documents, external investigations, negative media exposure, politically exposed persons (PEPs), expected transactional behavior, and...
-
Senior AML Risk Assessment Officer
4 weeks ago
Chicago, Illinois, United States Canadian Imperial Bank of Commerce Full timePosition OverviewThe role of the Enhanced Due Diligence Officer is pivotal in executing comprehensive assessments of potentially high-risk clientele. This involves a thorough examination of onboarding documentation, external investigations, negative press, Politically Exposed Persons (PEP) exposure, expected activities, and associated parties to establish a...
-
Model Governance and Risk Senior Analyst
2 weeks ago
Chicago, Illinois, United States Interactive Brokers Full timeAbout Interactive BrokersThis is a hybrid role (three days in the office/two days remote) at a leading financial services company.Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and...
-
Model Governance Senior Analyst
2 months ago
Chicago, United States Interactive Brokers Full timeJob DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and...
-
Model Governance Senior Analyst
2 months ago
Chicago, United States Interactive Brokers Full timeAbout INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...
-
Model Governance Senior Analyst
1 week ago
Chicago, Illinois, United States Interactive Brokers Full timeAbout Interactive BrokersThis is a hybrid role that combines three days of in-office work with two days of remote work. Interactive Brokers Group has been at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being a technology-driven company that challenges the status...
-
Senior Analyst in Model Governance
4 weeks ago
Chicago, Illinois, United States Interactive Brokers Full timeAbout Interactive BrokersThis is a hybrid role (three days in the office/two days remote).Interactive Brokers Group is a pioneer in trading technology, having revolutionized the industry since the introduction of the first handheld trading computer in 1983. We are proud to be a technology-driven organization that continuously challenges conventional...
-
Chicago, Illinois, United States Interactive Brokers Full timeAbout Interactive BrokersThis is a hybrid role (three days in the office/two days remote).Interactive Brokers Group is a leader in trading innovation, recognized for our commitment to technology and excellence in the financial services sector. We continuously strive to provide our clients with a superior trading platform that features advanced...
-
Model Risk and Governance Senior Analyst
3 weeks ago
Chicago, Illinois, United States Interactive Brokers Full timeAbout Interactive BrokersThis is a hybrid role (three days in the office/two days remote).Interactive Brokers Group is a leader in trading innovation, recognized for our commitment to technology and excellence in the financial services sector. We continuously strive to provide our clients with an advanced trading platform that features sophisticated tools at...
-
Senior Analyst for Model Governance and Risk
4 weeks ago
Chicago, Illinois, United States Interactive Brokers Full timeJob OverviewAbout Interactive BrokersThis position is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been a leader in trading innovation since 1983, renowned for our technological advancements and commitment to excellence. As a technology-driven firm, we continuously challenge conventional practices to provide our...
-
Head of Internal Audit for AML/BSA
3 weeks ago
Chicago, Illinois, United States Discover Full timeDiscover. A Brighter Future.At Discover, we empower you to engage in meaningful work from the very start.Our inclusive culture is anchored in three fundamental principles: We Play to Win, We Get Better Every Day, and We Succeed Together. We genuinely want you to thrive and make a significant impact at one of the world's foremost digital banking and payments...
-
Data Analyst
3 weeks ago
chicago, United States Insight Global Full timeJob Description: Test and/or support the execution of projects/implementations related to transaction monitoring, screening, customer risk rating systems and/or reporting systemsSupport delivery of projects, including initial requirements and business research to determine scope and impact, data analysis, recommendations, testing, and documentation, and...
-
Data Analyst
3 weeks ago
chicago, United States Insight Global Full timeJob Description: Test and/or support the execution of projects/implementations related to transaction monitoring, screening, customer risk rating systems and/or reporting systemsSupport delivery of projects, including initial requirements and business research to determine scope and impact, data analysis, recommendations, testing, and documentation, and...
-
Data Analyst
1 week ago
Chicago, United States Insight Global Full timeJob Description: Test and/or support the execution of projects/implementations related to transaction monitoring, screening, customer risk rating systems and/or reporting systemsSupport delivery of projects, including initial requirements and business research to determine scope and impact, data analysis, recommendations, testing, and documentation, and...
-
Data Analyst
3 weeks ago
Chicago, United States Insight Global Full timeJob Description: Test and/or support the execution of projects/implementations related to transaction monitoring, screening, customer risk rating systems and/or reporting systemsSupport delivery of projects, including initial requirements and business research to determine scope and impact, data analysis, recommendations, testing, and documentation, and...
-
Data Analyst
3 days ago
Chicago, Illinois, United States Insight Global Full timeJob Title: Data AnalystJob Summary: We are seeking a highly skilled Data Analyst to join our team at Insight Global. The successful candidate will be responsible for supporting the execution of projects related to transaction monitoring, screening, customer risk rating systems, and reporting systems.Key Responsibilities:Support delivery of projects,...
-
Senior IT Data Analyst
3 weeks ago
Chicago, Illinois, United States GTT, LLC Full timeJob SummaryWe are seeking a highly skilled Senior IT Data Analyst to join our team at GTT, LLC. As a key member of our AML team, you will be responsible for supporting the delivery of projects related to transaction monitoring, customer risk rating systems, and reporting systems.Key ResponsibilitiesSupport the development of test cases and execute testing...
-
Senior Associate
1 week ago
Chicago, Illinois, United States RSM Full timeAbout the RoleWe are seeking a highly skilled Senior Associate to join our Risk Consulting practice at RSM. As a key member of our team, you will be responsible for leading and delivering regulatory compliance internal audits, assessments, and model validations for financial institutions.Key ResponsibilitiesExecute model validation activities and testing...
-
Regulatory Compliance Professional
3 weeks ago
Chicago, Illinois, United States RSM Full timeAbout the RoleWe are seeking a highly skilled Senior Associate to join our Risk Consulting practice at RSM. As a key member of our team, you will be responsible for leading and delivering regulatory compliance internal audits, assessments, model validations, and other services at client locations within financial institutions.Key ResponsibilitiesExecute...
AML Governance
3 months ago
AML Governance & Risk Analyst.
This is a hybrid work opportunity based in Chicago, IL
The Governance, Risk & Compliance Analyst is responsible for identifying and mitigating risks across the department. These risks may include operational, regulatory, and compliance risks. The individual will consistently adhere to and review controls in place to properly verify the identity of new shareholders, suspicious activity, and fraud.
Work to complete workflows that relate to new shareholders, Suspicious Activity, and other generated reports pertaining to departmental risks (CIP and Principal review)
Constantly review all AML related reporting and dashboard data. Coordinate quarterly AML Certification Meetings with AML Compliance Officers (AMLCO)
Facilitate the annual AML Program review performed by outside auditing firms.
Properly escalate suspicious persons/items to AMLCOs
Prepare Suspicious Activity Reports (SARs) as directed by AMLCOs.
Perform recurring assessments of department risk and controls to contribute to enterprise risk assessments.
Perform daily review of Blue-Sky transaction reports and invoicing.
Create and maintain governance programs related to relationship management with third party service providers.
Oversee additional governance programs associated with change management and data security.
Coordinate the distribution process for regulatory mailings of Annual and Semi-Annual Reports, and Prospectuses, ensuring timely delivery to shareholders and interested parties.
Participate on industry calls that pertain to risk and regulatory related topics for departmental dissemination and implementation of controls.
Provide ongoing monitoring of shareholder market timing (22c-2), and subsequent reporting to executives regarding the details of these transactions.
Monitor and report accounts that are eligible for state escheatment and ensure operations are following industry and state standards.
Requirements
Bachelor’s degree, preferably in Finance, or other business-related concentration
2-5 years of financial services industry experience with a focus on risk and/or compliance preferred.
Knowledge of Bank Secrecy Act (USA Patriot Act), Anti-Money Laundering regulations, privacy laws, and fraud trends
Remarkable business writing skills.
FINRA Series 6 and 63 required; Series 26 preferred (required to be obtained 3 months of hire)
Certified Anti-Money Laundering Specialist (CAMS) Certification is recommended.
Thorough understanding of investment products such as mutual funds, collective investment trusts, and Exchange Traded Funds
