Sanctions Compliance Specialist

1 week ago

New York, New York, United States Rabobank Full time
About the Role

Rabobank is seeking a highly skilled Sanctions Analyst to join our team in the second line of responsibility. As a Sanctions Analyst, you will play a critical role in providing advisory services on sanctions-related matters to stakeholders.

Key Responsibilities
  • Sanctions Watchlist Monitoring: Conduct second-line reviews of sanctions watchlist alerts generated by automated transaction filtering and client screening systems, manual reports, or internal referrals.
  • Sanctions Risk Assessment: Conduct advisory reviews to assess and mitigate sanctions risk on clients and prospects undergoing onboarding, periodic, or event-driven reviews.
  • Sanctions List Management: Proactively recommend list additions, removals, and tuning guidance, and amend records as necessary.
  • Client Sanctions Exposure: Provide assessments of client sanctions exposure to be integrated into the CDD/EDD Management Insights.
  • Sanctions Language Analysis: Conduct research and analysis on sanctions language for new or amended credit agreements.
  • Sanctions Advice and Guidance: Provide timely advice and guidance to all appropriate business units and stakeholders on sanctions-related concerns.
  • Investigation and Review: Investigate and review complicated investment deals, trade finance transactions, and escalations from various lines of business.
  • Documenting Investigation Steps: Document investigation steps performed and document the rationale for decisions reached.
  • PEP Screening Alerts: Review and investigate PEP screening alerts from a second-line monitoring objective using the client screening system, internal Customer Due Diligence systems, and third-party sources.
  • Escalation and Reporting: Escalate potential sanctions issues to the Sanctions Manager and escalate any potentially unusual activity from an AML perspective.
  • Process Design and Training: Support the first line of review in designing and operating relevant sanctions processes and provide input for training and development.
  • Sanctions Procedures: Assist with updating the Sanctions Procedures.
  • Internal Audit and Compliance: Meet with, respond to, and remediate issues identified by Internal Audit, Compliance Testing Group, and Quality Control Team.
  • Requests for Information: Facilitate Requests for Information (RFIs) with the Front Office in the investigation of sanctions or PEP cases.
  • Trade Finance Deals and Payments: Review escalations related to trade finance deals and payments requiring OFAC general or specific licenses.
  • Case File Management: Create, update, and maintain case files documenting relevant information used in an investigation.
  • System Validation and Training: Assist with the validation of the Sanctions and PEP alert systems and participate in any testing of new releases or updates of current systems as necessary.
  • Ad Hoc Trainings: Conduct ad hoc trainings to key stakeholders.
Requirements
  • Minimum 2 years of prior sanctions experience
  • Ability to work collaboratively with regional and global partners in other functional units
  • Experience using an automated monitoring tool
  • Strong verbal and written communication skills
  • Problem-solving skills
  • Solid understanding of banking and financial services rules, laws, regulations, and processes
  • Highly motivated, focused
  • Excellent organizational, time management, and prioritization skills
  • Exemplifies the Rabobank culture of Accountability, Commitment, and Teamwork

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