Compliance Specialist
ReKruiting Advisors
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
Vacancy posted 1 day ago
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