Senior AML Analyst

Job Summary This position supports the AML Compliance function by executing program governance processes that maintain compliance with regulatory requirements and the firm's Anti-Money Laundering and Economic Sanctions Programs. What is the opportunity? This position supports the AML Compliance function by executing program governance processes that maintain compliance with regulatory requirements and the firm's Anti-Money Laundering and Economic Sanctions Programs. Key Responsibilities: Provide credible challenge to U.S. Wealth Management AML processes through data analysis, testing, and knowledge of AML regulatory compliance framework. Identify areas of concern in the control environment, research issues, and make recommendations as necessary. Manage the regulatory compliance management framework for the U.S. Wealth Management AML program, including review and analysis of new regulations, policies, procedures, and controls. Coordinate exams, audits and independent reviews. Perform testing of AML and Economic Sanctions control processes, including the application of relevant laws, regulations, policies, and procedures. Maintain clear, concise, and appropriate documentation of work performed as well as synthesizing complex work papers into a summary report of issues and observations. Deliver testing results in a professional manner through a variety of communication channels. Proactively identify and recommend improvements to enhance the effectiveness or efficiency of the U.S. Wealth Management AML Program. Assist in the comprehensive risk assessment of the U.S. Wealth Management AML Program. Participate in relevant projects and support to ad hoc requests pertaining to the U.S. Wealth Management AML Program. Requirements: Five or more years of experience in a financial services environment, with specific experience in AML, Audit, or Compliance. Extensive knowledge of regulatory/compliance risk management and anti-money laundering related requirements including BSA, USA PATRIOT Act, OFAC, and other applicable U.S. regulations. Bachelor's degree, preferably in business, finance, or accounting. FINRA Series 7 license or willingness to obtain within six months of start date. Excellent communication and interpersonal skills. Ability to prioritize and manage multiple tasks while ensuring that assigned job responsibilities and department goals are met. Demonstrate reliability, confidence, self-direction, flexibility, and strong attention to detail. Maintain accurate and complete records of actions taken with respect to job responsibilities. Ability to identify and escalate sensitive issues with discretion. About Us: We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

Created: 2025-03-03