Compliance Specialist- AML/CFT Program Oversight
About The Position
We are in pursuit of an individual with industry experience in Anti Money Laundering, Know Your Client, and Compliance Operations. In this crucial role, you'll be at the forefront of Vanguard's Anti-Money Laundering and Compliance Operations in an informal leadership capacity. Join a team committed to protecting financial integrity and combating financial crime. As a Compliance Specialist, you will play a critical role in Vanguard's Anti-Money Laundering (AML) and Know Your Customer (KYC) programs. You'll be responsible for monitoring client activity, conducting due diligence, and supporting regulatory compliance efforts across our global client base. In this role, you will be responsible for:
Requirements
- Minimum of 3 years of relevant experience in compliance, AML, or financial services.
- Bachelor's degree or equivalent combination of education and experience.
- Strong analytical, investigative, and communication skills.
Nice To Haves
- Familiarity with tools such as LexisNexis, World-Check, or similar platforms is a plus.
Responsibilities
- Conduct day-to-day monitoring of client activity to detect suspicious behavior.
- Assist junior analysts with investigations and escalate complex cases as needed.
- Collect and analyze documentation to assess client risk.
- Perform due diligence checks using established scoring models to identify high-risk clients.
- Review internal alerts and reports.
- Resolve exceptions in line with policy and escalate issues that require further investigation.
- Support internal and external reporting obligations in accordance with regulatory guidelines and departmental procedures.
- Participate in training sessions and contribute to the development of educational materials for junior team members.
- Stay current on regulatory developments and industry trends.
- Serve as a compliance consultant and liaison to regulatory agencies.
- Contribute to cross-functional initiatives and support other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Funds, Trusts, and Other Financial Vehicles
Number of Employees
5,001-10,000 employees
