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AML Compliance Analyst

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POST DATE 8/16/2016
END DATE 11/12/2016

Brown Brothers Harriman New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Entry Level (0 - 2 years)
Bachelors Degree



The AML Compliance Analyst is responsible for conducting internal reviews of possible violations of the Bank Secrecy Act, US PATRIOT Act or securities regulations and all matters related to potential money laundering, terrorist financing, fraud and inappropriate securities activity. Conducts transaction reviews of clients, quality assurances for account approvals and on boarding due diligence. Support senior staff in performing various global AML surveillance and monitoring and reporting of suspicious activity.

If you are looking to push your career to the next level, introduce yourself by submitting your resume.


* Reviews monthly and daily transaction alerts, client trading activity, client file review, conducts due diligence searches and metrics.

* Conducts investigations, prepares suspicious activity reports (SARs) and securities regulatory filings within mandated timelines.

* Actively participates in the annual AML risk assessment by testing adherence to the AML policy and procedures by the LOBs

* Regularly updates and ensures accuracy of all tracking logs for metrics reporting

* Assists in preparing the monthly metrics reporting

* Supports senior staff in responding to regulatory requests

* Conducts User Acceptance Testing (UAT) for system enhancements and documents work product

* Maintains system administration tables and updates

* Masters both proprietary and vendor based systems to help identify solutions to surveillance issues that may arise in day to day activity

* Ensures timely completion of all mandatory training requirements

* Ensures all licenses and certifications are up to date

* Keeps abreast of regulatory changes and news


* BA/BS degree. Finance, Economics or Business degrees preferred

* 1-3 years of business or compliance experience

* Strong organizational and analytical skills.

* Ability to multi-task with strong attention to detail.

* Strong communication and writing skills

* Capable of executing a range of relatively complex tasks and analysis

* Working knowledge of Actimize or similar trade surveillance monitoring system preferred

* Proficiency with Excel, Word, PowerPoint

* Working knowledge of securities markets preferred


* A collaborative environment that enables you to step outside your role to add value wherever you can

* Direct access to clients, information and experts across all business areas around the world

* Opportunities to grow your expertise, take on new challenges, and reinvent yourself - within the Firm

* A culture of inclusion that values each employee s unique perspective

* High-quality benefits program emphasizing good health, financial security, and peace of mind

* Rewarding work with the flexibility to enjoy personal and family experiences at every career stage

* Volunteer opportunities to give back to your community and help transform the lives of others



We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Full time

New York.