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AML Compliance Analyst

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POST DATE 8/27/2016
END DATE 12/19/2016

Wall Street Investments leader New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


This prestigious Wall Street Investments Leader seeks an exceptional individual to join their Anti Money Laundering Compliance team. In the role of Compliance Analyst, you will be responsible for KYC reviews and appropriate due diligence to provide approvals for new client on-boarding and existing client re-certifications. You will also be responsible for ensuring that the Firm's compliance activities follow required government rules and regulations by providing subject matter expertise within established client models and product lines of business including intensive documentation review and communicating regulatory requirements to both sales and relationship management teams. This highly promotable position will also handle more complex regulatory inquiries and investigations including participating in Enhanced Due Diligence calls with Foreign Financial Institutions.


* Review KYC files for on-boarding, re-certifications and due diligence requests.
* Actively participate in the annual AML risk assessment by testing adherence to the AML policy and procedures by the lobs.
* Preparation of documentation on compliance problems and reporting to the head of AML compliance
* Review requests for information from regulators, collect responsive information and documentation and support preparation of applicable responses
* Proactively identify trends in recurring compliance violations and inquiries and collaborate with other team members to improve compliance procedures and processes, education materials and forms
* Identify and resolve problems following established guidelines, accounting for internal guidelines as well as outside regulatory requirements
* Execute a range of more complex tasks and analyses


* Bachelor's degree in Finance, Business Administration or related field is a must
* 3-5 years of specific AML compliance work experience
* Strong Analytical and Organizational skills Ability to effectively prioritize multiple tasks, and have attention to detail
* Excellent verbal and written communication skills with ability to present complex and sensitive issues to senior management
* Works well individually and in teams by sharing information and supporting colleagues
* Must be authorized to work in the United States without time restrictions

_This amazing opportunity will not last long so send a resume today!_