AML Escalations

3 weeks ago

Tallahassee, United States Madison-Davis, LLC Full time

Broker dealer located in Orlando looking to bring on board a AML Escalations & Enhanced Due Diligence Associate to join their compliance team. This role is on a hybrid schedule (3 days in office).Responsibilities: Conducting Enhanced Due Diligence on complex accounts and higher risk customers Preparing a memo of findings and assessment (Develop EDD and CDD templates with Unit) Conducting EDD periodic reviews and remediations Handle escalations from front office or onboarding teams Ensuring unwanted prospects, relationships or exited customers are added to the internal Blacklist Working with team to develop enhanced desktop procedures Updating EDD and PEP list; conducting periodical reviews accordingly Provide guidance as needed to onboarding team(s) on additional document requirements as well as alerts warranting escalation Reviewing and assessing Alert escalations (Name screening for negative news, PEPs, and potential sanctions hits) Work closely with cross dept. stakeholders Support AML Escalations Manager on existing Business As Usual (BAU) KYC/EDD function enhancements to improve processes where needed#J-18808-Ljbffr

by Jobble

  • AML Advisory Team Lead

    3 weeks ago

    Tallahassee, United States Madison-Davis, LLC Full time

    Broker dealer located in Orlando looking to bring on board a “AML Advisory Team Lead” to join their compliance team. Responsibilities: • In depth understanding of Bank Secrecy Act (“BSA”), USA PATRIOT Act, OFAC/Sanctions, and FINCEN requirements to be applied in practice for the respective business line’s Anti-Money Laundering program...