AML Analyst

Rockefeller Capital Management • Stamford, CT

10d

About The Position

The AML Analyst plays a crucial role in supporting the organization’s efforts to detect, prevent, and report money laundering activities and ensure compliance with AML and sanctions regulations. This entry-level position provides an excellent opportunity to develop skills and gain experience in financial crime compliance and AML operations.

Requirements

• Bachelor's Degree required
• 1-3 years of experience in reviewing customers and customer transactions for potentially suspicious activity and performing AML-related investigations using automated AML monitoring software
• Knowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and FinCEN/SAR
• Experience in securities within Private Wealth Management, ideally with a Broker-Dealer or Registered Investment Advisor
• Strong writing, analytical, decision making/problem solving and communication skills
• Able to multitask and complete projects timely
• Strong organizational and time management skills
• Experience drafting SAR Narratives

Nice To Haves

• SIE Exam and Series 7 are preferred
• ACAMS Certification (or willingness to obtain)
• Actimize Essentials experience is preferred
• Excellent research skills, including online research tools (LexisNexis and/or WorldCheck is a plus)

Responsibilities

• Evaluate alerts generated by the Firm’s transaction monitoring system (Actimize) to identify potentially suspicious transactions and customers who may pose a financial crime risk. Escalate findings in accordance with internal policies and regulatory requirements.
• Review and analyze real-time OFAC and sanctions-related transaction alerts to ensure compliance with applicable laws and regulations. Due to payment processing times, the AML Analyst will be required to work until 6 pm, 2-3 times per week.
• Conduct fraud and AML investigations into activities that may trigger a SAR filing requirement.
• Participate in regular internal and external training sessions to stay current on AML and sanctions regulations, industry best practices, and internal compliance policies.
• Assist in drafting team training, policies and procedures, and presentations.
• Work closely with other departments, including Compliance, Legal, Technology, and Operations, to ensure a coordinated approach to AML and sanctions compliance efforts.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees