AML and Sanction Associate
Intesa Sanpaolo Group•New York, NY
•$100,000 - $130,000•Onsite
About The Position
Within Intesa Sanpaolo IMI Securities Corporation NY, the AML/KYC Associate provides oversight of the firm’s BSA/AML program and has primary responsibilities regarding new account documentation and all BSA/AML and OFAC Sanctions Regulations. Other general responsibilities include monitoring and reporting of employee electronic communications.
Requirements
- 3-5 years of experience in similar role
- Experience using Sanction/AML tools e.g. Lexus/Nexus, World Check
- Proficiency in Excel
- Familiarity with The Financial Action Task Force (FATF), USA PATRIOT Act & Bank Secrecy Act (BSA) and FinCEN
- Client Onboarding, KYC and Risk Assessments
- Bachelors Degree
Nice To Haves
- ACAMs
Responsibilities
- Maintenance and revision of the firm’s AML policies and procedures
- Provide advice and guidance to the trading desks and Operations during new client onboarding
- Monitor firm’s activity and identify AML risks
- Conduct analysis, document review and approvals, and obtain information about customers at onboarding (KYC)
- Monitoring and updating Customer Risk Rating
- Sanction screenings for new customers and perform document refresh
- Assist with reporting of AML reports to Head Office
- Monthly and Quarterly reporting of RAF indicators to Head Office and Semi-annual Compliance and Controls reporting to Head Office
- Conduct enhanced due diligence, Customer Diligence and identify Ultimate Beneficial Owners (UBO)
- FINRA and SEC Blue sheets submissions
- FinCEN 314 (a) reporting and screening of the names required by FinCen
- Provide administrative support for Chief Compliance Officer
- Conduct Bloomberg electronic communications reviews, SMARSH phone communication reviews and monthly reporting
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
