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Financial Crime Compliance Analyst
2 months ago
About Rockefeller Financial:
Rockefeller Financial is a prominent independent advisory firm that has been serving ultra- and high-net-worth individuals, families, institutions, and corporations since its inception. With a legacy dating back to 1882, the firm has evolved to provide strategic financial guidance from multiple locations across the United States and an office in London, managing approximately $133 billion in client assets.
Position Overview:The AML Analyst is integral to the organization’s mission to identify, prevent, and report illicit financial activities while ensuring adherence to AML and sanctions regulations. This entry-level role offers a unique opportunity to cultivate expertise and gain practical experience in the field of financial crime compliance and AML operations.
Key Responsibilities:- Perform comprehensive reviews related to all facets of the Rockefeller Financial AML and Sanctions Program, encompassing transaction monitoring, customer due diligence, and compliance with OFAC/sanctions.
- Analyze alerts produced by the firm’s transaction monitoring system, identifying and escalating any suspicious transactions or customers that may pose a risk.
- Conduct initial and ongoing customer due diligence/enhanced due diligence assessments for both new and existing clients.
- Assist senior analysts and investigators in examining activities that may necessitate a reporting obligation.
- Engage in regular training sessions, both internal and external, to remain informed about AML and sanctions regulations, industry best practices, and internal compliance protocols.
- Contribute to the development of team training materials, policies, procedures, and presentations.
- Collaborate closely with various departments, including Compliance, Legal, Technology, and Operations, to ensure a unified approach to AML and sanctions compliance initiatives.
- A Bachelor’s Degree is required.
- 0-3 years of experience in evaluating customer transactions for potentially suspicious activity and conducting AML-related investigations using automated monitoring software (experience with Actimize Essentials is advantageous).
- Familiarity with the Bank Secrecy Act (BSA), the USA PATRIOT Act, and FinCEN/SAR requirements is preferred.
- A background in Securities within Private Wealth Management is a plus.
- Exceptional research capabilities, including proficiency with online research tools (experience with LexisNexis and/or WorldCheck is beneficial).
- Strong writing, analytical, decision-making, and communication skills.
- Ability to manage multiple tasks and complete projects within deadlines.
- Excellent organizational and time management abilities.
The anticipated base salary range for this position is between $80,000 and $90,000. The final salary will be determined based on various factors, including the candidate’s qualifications, skills, competencies, and experience. Additionally, this role may qualify for a discretionary bonus. Rockefeller Financial provides a comprehensive benefits package, including health coverage, vacation time, paid leave, retirement plans, and more.
Equal Opportunity Employer:Rockefeller Financial is an equal opportunity employer and does not discriminate based on race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other protected characteristic.
