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Vp, Compliance Aml Execution Officer

3 months ago

Queens, United States Citi Full time

The VP, Compliance AML Execution Officer is senior professional responsible for performing risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize in-depth AML knowledge to review, analyze and conduct effective due diligence and investigations on higher risk cases that may be a potential risk to Citi. Responsibilities may also include review of cases completed by Analysts for timeliness and accuracy, coaching/training team members, as required, and assisting management in exams/audits, and mitigating operational risks.

**Responsibilities**:

- Conduct investigations and research on potentially suspicious clients using various internal and external systems and databases
- Conduct Cross Sector reviews among multiple Citi business lines.
- Document and report the review/investigation findings and prepare case files with the required supporting documentation
- Summarize, in writing, clear and concise findings of the investigations
- Advise senior management on next steps and provide recommendations on the next course of action (relationship retention, termination, Suspicious Activity Report (SAR))
- Manage risks by analyzing the root cause of issues and impacts to business

This role my also be responsible for:

- Review AML cases completed by Analysts to ensure that any material AML risks have been mitigated and case documentation is in accordance with the unit’s policies and procedures.
- Carry out SAR Reporting Officer responsibilities by Reviewing/Approving Suspicious Activity Reports (SARs) drafted by Analysts consistent with FinCEN requirements.
- Ensure SAR related regulatory timelines and requirements are followed by the team (i.e., 30 days for SAR; 120 days for supplemental SARs).
- Review/Approve post-investigative actions recommended by Analysts, including relationship termination, Risk Rating Override, and KYC Feedback Loop.
- Ensure that all errors and deficiencies identified by the Quality Assurance Team have been remediated.
- Conduct personalized one-on-one or group mentoring sessions to explain processes, red flags, investigative strategies, techniques, changes in procedures, emerging trends and managerial directives.
- Assist Analysts in overcoming performance related challenges.
- Lead or assist with ad-hoc AML related projects.
- Assist management with regulatory exams and other third-party reviews (e.g., IA, CA).
- Perform complex, cross-sector, and/or high-risk reviews involving unusual transactional patterns, significant negative news, intricate business relationships, potential network activity, prominent/high-profile clients, entities designated as SDN/money laundering concern, and other sensitive matters.
- Manage/mitigate operational risks by analyzing the root cause of issues and impacts to business, make recommendations to Senior Management on process and control enhancements.

**Qualifications**:

- 5 - 8 years of experience in AML
- 4+ years of experience in drafting and/or approving Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
- Comprehensive knowledge of AML regulations preferred
- Understanding of advanced money laundering typologies and techniques, and investigative practices for detecting such activity
- Ability to operate with a limited level of direct supervision
- Ability to exercise independent judgement and autonomy
- Proficient in MS Office
- Proven analytical skills
- Effective verbal and written communication skills
- Responsible for volume, quality and timeliness of work product
- Follows procedures and identifies opportunities to strengthen controls
- Learns from experiences, adapts and improves, and welcomes challenge from others on processes and decisions
- Takes ownership and accountability for delivering outcomes, takes responsibility for own work
- Succeeds together: Builds strong relationships with stakeholders

**Education**:

- Bachelor's/University degree, Master's degree preferred

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
- **Job Family Group**:
Compliance and Control
- **Job Family**:
AML Execution
- **Time Type**:
Full time
- **Primary Location**:
New York New York United States
- **Primary Location Full Time Salary Range**:
$129,840.00 - $194,760.00
- **Anticipated Posting Close Date**:
Jun 13, 2024
- Citi is an equal opportunity and affirmative action employer.

Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.

View the **EEO Policy Statement**.

View the **Pay Transparency Posting