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Financial Crime Compliance Analyst
2 months ago
About Rockefeller Financial:
Rockefeller Financial is a prominent independent advisory firm that has evolved from its origins as the family office of John D. Rockefeller, established in 1882. With a commitment to providing strategic guidance to high-net-worth individuals, families, institutions, and corporations, the firm operates in 30 markets across the United States and has a presence in London. As of March 31, 2024, Rockefeller Financial manages assets totaling $133 billion.
Position Overview:The role of the AML Analyst is vital in assisting the organization’s initiatives to identify, prevent, and report money laundering activities while ensuring adherence to AML and sanctions regulations. This entry-level position offers a unique opportunity to cultivate skills and gain experience in the realm of financial crime compliance and AML operations.
Key Responsibilities:- Conduct comprehensive reviews pertaining to all facets of the Rockefeller Financial AML and Sanctions Program, including 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.
- Perform 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 policies.
- 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.
- A Bachelor’s Degree is required.
- 0-3 years of experience in reviewing 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 beneficial.
- 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 advantageous).
- 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 actual base salary will be determined based on various factors, including the candidate’s qualifications, skills, competencies, and experience, and may vary from the stated range. 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.
Rockefeller Financial participates in the E-Verify program as required by law.
