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Lead Analyst for AFC Risk Evaluation

2 months ago

New York, New York, United States The Ladders Full time
Position Overview

The AFC Risk Evaluation & NY Department of Financial Services ("NYDFS") Part 504 Execution Program Unit ("AFC-RAU") operates as a critical segment within The Ladders' AFC Department. This sub-unit serves as a pivotal second line of defense, functioning as the primary subject matter expert (SME) for overseeing the organization-wide AFC Risk Evaluation (RE) and annual NYDFS Part 504 initiatives. These initiatives are designed to effectively identify, assess, and quantify AFC risk exposures across various domains, including BSA/AML, Economic and Trade Sanctions, Anti-Bribery and Corruption, and Fraud, in compliance with all relevant regulatory and industry standards.

Key Responsibilities

The Lead Analyst for AFC Risk Evaluation will collaborate closely with the Head of AFC Risk Evaluation and NYDFS Part 504 Execution Program to develop, manage, and enhance the organization's AFC (BSA/AML, Sanctions, Counter-Terrorism Financing, Anti-Bribery and Corruption, and Fraud) RE program. The role entails providing comprehensive support and assistance in all facets of the RE program. Key duties include:
  • Assisting in the formulation, upkeep, and execution of the organization's AFC RE processes, particularly:
    • Coordinating and managing RE activities, alongside monitoring and reporting as necessary.
    • Identifying emerging issues and ensuring their integration into the RE program.
    • Analyzing complex data sets from diverse sources to deliver accurate insights regarding the organization's risk profiles.
    • Enhancing the RE framework by identifying opportunities for methodological improvements and promoting consistency in RE practices.
    • Conducting quality control reviews over RE outputs and maintaining regular communication with relevant personnel to ensure timely task execution.
    • Drafting comprehensive reports or presentations for Senior Management, the Board of Directors, and other stakeholders.
    • Taking responsibility for drafting significant sections of the RE Report.
  • Supporting the execution of the organization's annual NYDFS Part 504 certification process:
    • Reviewing submitted documentation.
    • Preparing materials for Status Update meetings.
    • Contributing during discussions with senior stakeholders to ensure regulatory requirements are met.
Additional Responsibilities
  • Performing ad hoc duties as required to assist the Head of AFC Risk Evaluation or other AFC subunits.
  • Maintaining a thorough understanding of financial crimes compliance matters, regulatory requirements, and best practices relevant to the organization's RE.
  • Applying independent judgment in identifying and escalating key BSA-AML, Sanctions, ABC, and Fraud risks.
  • Exhibiting a high level of professional standards and aptitude.
  • Recommending process improvements for efficiency and control.
  • Participating in committee meetings as necessary.
Qualifications
  • Bachelor's degree required.
  • A minimum of 3 years of experience in anti-financial crime, audit, risk management, or regulatory compliance within the financial sector.
  • A minimum of 1 year of experience in AFC Risk Evaluation.
  • Exceptional verbal, written, and interpersonal communication skills.
  • Strong time management skills with a keen attention to detail.
  • Ability to thrive in a team-oriented, multi-tasking environment.
  • Knowledge of key financial crime prevention laws and regulations.
  • Understanding of commercial and retail banking.
  • Strong analytical and critical reasoning abilities.
  • Proficient writing skills.
  • Capability to prioritize a diverse workload with multiple deadlines.
  • Advanced proficiency in Excel.
  • Ability to work independently and meet established deadlines.
  • Familiarity with database management systems is advantageous.
  • Professional certification (e.g., CAMS) is a plus.

We are an equal opportunity employer and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, disability, military and/or veteran status, or any other Federal or State legally-protected classes.