Financial Services Client
- Analyze negative news and politically exposed persons (“PEP”) and prepare written analysis and recommendations.
- Fully and clearly document performed due diligence including all pertinent facts and information to support result.
- Complete all escalations timely and in an efficient manner.
- Conduct research and provide advice on new customer alerts within KYC files
- Review, resolve and/or further escalate alerts and other adverse news screens.
- Coordination across all key stakeholders in the screening Process (e.g. Front Office, Client Vetting, FIU, Anti-Corruption/Anti-Bribery, Sanctions, etc.).
- Analyze key processes to identify concerns and/or efficiencies and prepare possible solutions/ strategies.
- Raise questions and concerns to the team lead as needed to make determinations and close screening alerts
- Responsible for the preparation, aggregation and upload of screening and alert reports, and supporting documentation used to address the alert into the appropriate customer record
- Maintain awareness of changes into the 4-eye and escalation processes as directed by department management
- Aid in the revision and maintenance of alert review and 4-eye review process procedures and guidance documentation
- Perform other related compliance assignments as assigned.
Desired Skills and Experience
- Bachelor’s degree required
- 3-5 years compliance experience performing screening.
- Demonstrated team player and ability to drive a project to completion.
- Excellent written and verbal communication skills.
- Ability to interact and work closely with business stakeholders at all levels of seniority.
- Possess strong analytical thinking and critical reasoning skills.
- Ability to work effectively in a team environment.
- Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements.
- Self-motivated with the ability to work independently.