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Institutional Onboarding Analyst, AML & Financial Crimes (CIU) - Req. 1900439


Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Assists on projects of moderate scope and complexity and serves as a technical advisor to various business lines.  Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research and resolve problems.

Essential Duties and Responsibilities:

  • Collecting Know Your Customer (KYC) documentation through client onboarding and ongoing due diligence processes.
  • Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations.
  • Documenting and reporting the investigation findings in the case management system and preparing reports to management as required.
  • Drafting reports detailing work performed and conclusions reached, which require minimal editing and provides a clear message including suggested corrective and/or remedial action.
  • Developing metrics and reporting measures as directed and reporting results to management.
  • Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate to Management.
  • Perform reviews and analysis utilizing internal and third-party research tools.
  • Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act.
  • Mentor colleagues/peers on internal AML policies, rules and regulations.
  • Inform senior management about issues that may involve rule violations or potential liability.
  • Maintain currency in laws and regulations pertaining to Anti-Money laundering compliance. 
  • Perform other duties and responsibilities as assigned.


Knowledge of:
  • Customer Identification Program, Customer Due Diligence, Enhanced Due Diligence and other KYC-related policies and procedures
  • Concepts, practices and procedures of securities industry and/or banking compliance reviews.
  • Rules and regulations of the USA PATRIOT Act.
  • Experience with investigative techniques and report writing
  • Securities industry knowledge and/or financial services industry experience, specifically-related to on boarding and performing due diligence on hedge funds, private equity funds and other pooled investment vehicles.
  • Fundamental investment concepts, practices and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products. 
Skill in:
  • Administering Anti-Money laundering policies and procedures. 
  • Planning and scheduling work to meet regulatory organizational and regulatory requirements.
  • Identifying and applying appropriate compliance monitoring procedures and tests.
Ability to:
  • Interpret and apply Anti-Money laundering regulations and identify and recommend compliance changes as appropriate.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Communicate effectively, both orally and in writing.
  • Independently research and resolve issues while working across teams to acquire information.
  • Provide a high level of customer service.
  • Establish and maintain effective professional working relationships at all levels of the organization.
  • Handle highly confidential information professionally and with appropriate discretion.
  • Maintain currency in Anti-Money laundering rules and regulations and compliance examination techniques and best practices.
Educational/Previous Experience Requirements:
  • Bachelor’s Degree from a four-year college or university in a related field and two (2) years of experience in performing AML-related client due diligence reviews and/or investigations.
  • Any equivalent combination of education, training and/or experience approved by Human Resources.
  • CAMS required or ability to obtain within 18 months of employment or designated time frame established by manager.