AML and Sanction Associate
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What you'll do
- 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
What they're looking for
- 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 have
- ACAMs
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
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Overview
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.
What you'll be doing
You will be in charge of the the following activities:
- 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.
Who we are looking for
If you are looking to turn your passion into a career and meet the following requirements, we would be delighted to hear from you:
- 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.
Preferred skills: ACAMs.
What we offer
- The salary range for this position is 100k $- 130k $
About us
Intesa Sanpaolo IMI Securities Corporation is a U.S. broker/dealer headquartered in the State of New York. It is indirectly controlled by Intesa Sanpaolo and is part of its IMI Corporate & Investment Banking Division. In the United States, Intesa Sanpaolo IMI Securities Corp. is a registered broker-dealer with the Securities and Exchange Commission, a FINRA member firm, and a member of the New York Stock Exchange LLC.
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We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03.
For the evaluation of the application, the data will be processed by Intesa Sanpaolo IMI Securities Corporation as Data Controller. We invite you to review the dedicated Privacy Information Notice for more details.
Company
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