AML Governance
1 month 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
Bachelors 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
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