AML Surveillance Associate

4 weeks ago

Houston, United States Insigneo Advisory Services, LLC Full time

The AML Surveillance Associate’s main responsibility is the review and disposition of alerts triggered by the transactional monitoring system. Additional responsibilities include, but are not limited to, the review of escalated transactions to the AML Group by other areas within the Firm, and the confirmation of compliance with pertinent Firm’s AML Policy Documents. The Associate will be also responsible for conducting Enhanced Due Diligence (EDD) as needed in connection with activities performed. The associate will review all AML-related items including Know Your Customer forms (KYC) and anticipated account activity. The Associate may be assigned to special projects or initiatives of the AML Group impacting business under the Insigneo umbrella and support KYC related activities. Job Responsibilities/Main Functions Review and dispose AML transactional alerts in accordance with Firm’s Policy Documents. Support the AML Surveillance Officer or designee in the resolution or escalation of alerts. Review of accounts that require AML approval. Support as needed in internal and external reviews covering AML activities. Assist in the implementation of corrective actions as needed based on audit results or recommendations from regulators. Address and review transactional AML related items escalated by business units. Analyze and conduct assessments of the risks associated to clients that will assist in the decision making of the escalation. Review and approve asset movement requests for accounts with compliance/AML restrictions or suspicious activity detected. Assist on Special projects as needed. Review of exception reports to identify items that represent ML concern. Completes other duties, as necessary. Job Requirements (Education, Experience, and Skills) Bachelor’s degree in business administration with a concentration in Finance or Management, or related field. Minimum of three to five (3-5) years of work-related experience. ACAMS or equivalent. Bilingual in English and Spanish. Knowledge of FINRA (Financial Industry Regulatory Authority) and SEC regulations. Knowledge of industry regulations and financial industry products and services. Knowledge of broker dealer operations. Knowledge of BSA/AML regulatory authority. Ability to understand legal documentation, financial/accounting data, and reports. Familiarity with custodial platforms. Excellent communication skills both written and verbal. Time-management, analytical, and negotiation skills. Ability to work in a team environment, self-motivated, and research capabilities. Proactive, organized, and able to work under pressure.

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