The Brokerage AML Analysts within the FIU, review system generated and manual cases for activity conducted by Retail Broker-Dealer and Institutional Market Clients.
The Compliance AML Execution Analyst is responsible for managing a caseload of investigations, perform analysis and follow-up and work cases from beginning to completion according to Citi AML procedures and policies. Cases are generated from sources which include Automated Alerts (EAP, Mantas), and Manual referrals. Responsibilities
- Document and report case review/investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.)
- Conduct research over available Bank/Brokerage/Markets systems, the Internet, and Databases (including SEC filings), consistent with the resolution of investigations
- Collect and examine financial statements/trade data and other documents to assist in identifying unusual transaction patterns
- Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.
- Document all research and analysis conducted in the Case Management System
- Create Suspicious Activity Reports (SARs); and recommend relationship retention or termination; and track account closures as required.
- Liaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law Enforcement, where applicable.
Job Family Group:
- Bachelor's Degree required or equivalent experience.
- Minimum 1-5 years' experience in reviewing customer transactions and information for identifying potentially suspicious activity and performing AML or financial investigations; or equivalent securities industry experience.
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements preferred.
- Series 7 and/or other FINRA registrations preferred
- CAMS Certification is a plus
- Adept understanding of complex financial products and transactions including equities, fixed income securities, derivatives, prime brokerage, DVP/RVP, private placement, asset management, hedge funds, security transfers, ACATS, etc.
- 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 rules and regulations requirements, and SAR requirements
- General understanding of Senior Public Figures, Money Service Businesses, Wealth Management and Retail Banking preferred as well as compliance with those business segments.
- Excellent organizational, time management, and project management skills.
- Excellent research skills including experience with online search tools.
- Advanced proficiency in Microsoft Office (i.e., MS-Word, MS-Excel, MS-Access, MS-PowerPoint and MS-Outlook)
- Strong writing, analytical and communications skills. Must be able to multitask and complete projects on time.
- Strong Attention to detail and follow-up skills
- Should be a self-starter, and organized, and must have the ability to work independently, without supervision.
Compliance and ControlJob Family:
AML Execution Time Type:
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