AML Quality Control, Senior Analyst- FIU/Fraud

DescriptionJob Summary:Under limited supervision, the Anti-Money Laundering Quality Control Senior Analyst is responsible for reviewing the quality and accuracy of the Financial Intelligence Unit (FIU) and Enterprise Fraud Risk Management (Fraud) teams. This role involves a critical attention to detail and will also be accountable for generating periodic reports (metrics) that will be utilized by the AML Senior Management team in order to analyze quality trends and patterns. May handle projects of moderate scope and complexity.Essential Duties and Responsibilities:

Conduct continuing reviews of AML case investigations to include the narrative and supporting documentation.

Verify the AML FIU Investigators performed the appropriate levels of review for each case, to include client/subject and transactional analysis.

Verify the Fraud Investigators performed the appropriate levels of review for each investigation, to include fraud typologies and investigation fact analysis

Confirm the disposition of investigations relating to transaction monitoring scenarios, internal/external referrals, adverse media escalations, and 90-day re-monitors.

Ensure that all cases are closed/filed in accordance with internal Service Level Agreements (SLA) and the securities and/or banking industry’s regulatory requirements.

Provide written and verbal feedback/training to the FIU and Fraud Investigators.

Prepare reports for the AML Quality Control manager and Senior Management.

Assist with special projects.

Maintain and update written procedures for assigned job responsibilities.

Function as a subject matter expert on AML-related issues and provide mentoring as needed.

Escalate and articulate relevant risks to the appropriate stakeholders.

Identify opportunities for increased effectiveness, efficiency, and risk mitigation.

Supporting Client Intelligence Unit activities that may include, but are not limited to, Client Intelligence Program ("CIP"), Enhanced Due Diligence ("EDD"), and adverse media screening.

QualificationsAdvanced knowledge of:

Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

Rules and regulations of the USA PATRIOT Act, the Bank Secrecy Act, and other AML-related regulations, rules, or guidance.

Fundamental investment concepts, practices, and procedures used in the securities industry.

Principles of banking and finance and securities industry operations.

Financial markets and products.

Skill in:

Administering AML policies and procedures.

Analyzing activity documentation to identify irregular transactions.

Planning and scheduling work to comply with organizational and regulatory requirements.

Identifying and applying appropriate compliance monitoring procedures and tests.

Preparing oral and/or written reports.

Investigating compliances issues and irregularities.

Making rule-based and analytical decisions.

Operating standard office equipment and using required software applications.

Communicating clearly and effectively, both orally and in writing.

Providing feedback to the FIU and Fraud teams.

Ability to:

Identify problems, collect data, establish facts, and draw valid conclusions.

Research and analyze large amounts of data, interpret higher risk attributes (transactional, geographical, product/service, customer type, etc.), and validate case dispositions appropriately.

Provide mentoring, training, and review of work to the FIU and Fraud Investigators.

Rely on knowledge and judgment to plan and attain assigned tasks and goals.

Focus on speed and set the appropriated urgencies without compromising accuracy.

Establish and maintain effective working relationships at all levels of the organization.

Maintain confidentiality.

Stay current in AML rules and regulations and compliance examination techniques and best practices.

Educational/Previous Experience Requirements:

Bachelor’s Degree (B.A.) from a four-year college or university in a related field and three (3) to five (5) years of experience in compliance in the securities or banking industry with a focus in AML activities.

or

Any equivalent combination of education, training and/or experience approved by Human Resources.

Licenses/Certifications:

ACAMS required or the ability to obtain within six (6) months.

Job: CompliancePrimary Location: US-FL-St. Petersburg-Saint PetersburgOrganization Anti-Money Laundering & Financial CrimesSchedule Full-timeJob Shift Day JobTravel NoReq ID: 2401110