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The Due Diligence Operations (“DDO”) element within Anti-Money Laundering (“AML”) Operations is tasked with assessing customer risk and producing financial intelligence through research and analysis.
The DDO Investigator will conduct analyses of current and prospective customers through a variety of assigned alerts within the production and rule development environments. The DDO Investigator will also work full scope reviews through the case investigation process and develop work products documenting risk analysis
Conduct investigative/intelligence research of individuals, entities, and/or events related to current or prospective customers through public records, open source media, vendor systems, or other research tools.
Conduct investigative/intelligence analysis of collected information including current or prospective customer's client profile, background, business operations, know your customer ("KYC") information, and transaction history.
Draft assessment summaries and other written investigative/intelligence products to support judgments, decisions and recommendations
Work effectively across varying groups and teams within the AML Operations environment. Meet key team performance standards while additionally setting personal performance goals.
Participate in key training and learning opportunities and seek additional knowledge acquisition proactively.
Perform other duties & responsibilities as required or assigned.
KEY SKILLS, KNOWLEDGE AND ABILITIES:
Strong understanding of different investment strategies across various alternative investment platforms
Familiar with and willing to learn of the laws applicable to money laundering, to include the BSA, USA PATRIOT Act, U.S. Treasury AML guidelines, OFAC requirements and Suspicious Activity Reporting requirements.
Strong writing, analytical and communication skills with ability to make assessments supported by strong analyses
Ability to multi-task and complete projects under deadlines
Ability to work independently, without supervision
Strong research skills, advanced skill in the use of Microsoft Word, Excel, PowerPoint, Outlook and experience with on-line research systems including the Internet
Understanding of money laundering and other financial crime typologies
Ability to execute against the Chief BSA/AML Officer’s strategic vision for BSA/AML operational tempo and design
CPA certification is preferred.
Knowledge of banking compliance requirements
Customer onboarding experience
Familiarity with KYC documentation
Provides extraordinary service.
Furthers the Company culture and values.
The ability to learn and comprehend basic instructions; understand the meanings of words and respond effectively; and perform basic arithmetic accurately and quickly.
Vision must be sufficient to read data reports, manuals and computer screens.
Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person.
Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions.
Position involves sitting most of the time, but may involve walking or standing for brief periods of time.
Must be able to travel in a limited capacity.
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