Compliance Specialist
ReKruiting Advisors LLC.
Compliance Specialist Key Responsibilities Reviewandverificationofallnewcustomeraccountfiles. UpdatecompanyAMLpoliciesandprocedures. Overseetheprocessforreviewoftransactionsforsuitability,accuracy,andsuspiciousactivity. MonitoringlegalandregulatoryrequirementsrelatedtotheBankSecrecyAct,PatriotAct,andOFACregulations,andguidancefromU.S.andforeignregulators. AssistwithAMLReview/investigationsofaccountactivity. Ensureregulatorycertificationsarefiledinatimelyfashion. ProductionanddistributionoftheKYCDashboardtotrackrenewalprogressofon-boardedclients. Overseeadministrationofemployeecontinuingexaminationrequirements,includingFINRACE,FirmElementtraining,andotherFirm-requiredtraining. OngoingparticipationinresponsetoInternalAuditrequests. Qualifications 3+ years of experience in reviewing customer information and performing AML or financial investigations; or equivalent securities industry experience. In-depth knowledge of U.S. securities regulations, FINRA/SEC/NFA/CFTC rules, and general regulatory compliance matters. Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements. #J-18808-Ljbffr ReKruiting Advisors LLC.
Vacancy posted 4 days ago
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