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Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance policies, procedures, and risk assessments within the banking and financial services sector, with a strong focus on BSA/AML and OFAC regulations. Capable of conducting compliance monitoring, investigations, and regulatory filings while effectively collaborating with various internal functions.
Highest-signal resume keywords
BSA/AML ComplianceOFAC RegulationsRegulatory FilingsCompliance MonitoringCAMS Certification
About the role
Key responsibilities & impact- Develop, maintain and periodically review Branch compliance policies, procedures, risk assessments, control inventories and governance materials
- Oversee and perform risk-based compliance monitoring and testing, including transaction-monitoring alerts and cases, investigations, dispositions, escalations, backlog and aging oversight, issue tracking and corrective actions
- Provide compliance and AML oversight for customer onboarding, risk ratings, due diligence, enhanced due diligence, periodic and event-driven reviews, conditional approvals and related documentation
- Coordinate Branch AML and sanctions activities, including OFAC and name-screening reviews, sanctions advisory and escalation, transaction-screening quality reviews, FinCEN Section 314(a) processing, suspicious-activity investigations and reporting support, annual filings and certifications
- Exercise delegated Deputy AML Officer and trained backup responsibilities for assigned AML/BSA and OFAC matters, escalating material matters to the VP, Head of Compliance
- Administer and review U.S. employee compliance controls, including brokerage-account activity, personal-account-dealing escalations, outside business activities, gifts and mail records, pre-clearance, monitoring and recordkeeping
- Conduct regulatory and legal research and prepare memoranda, questionnaires, certifications, regulatory filings and responses to regulators, auditors and counterparties
- Prepare reporting for the VP, Head of Compliance, local management, Group Compliance and governance forums
- Prepare and deliver annual and targeted compliance training and advise business and control functions on compliance requirements
- Coordinate with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance, internal audit, external audit and independent review functions
- Perform assigned SEBSI broker-dealer compliance responsibilities, including monitoring and surveillance, regulatory filings and registrations, employee compliance, research and communications review, due diligence and sanctions controls, books and records, and support for supervisory reviews and examinations
Requirements
What you’ll need- Minimum of a bachelor’s degree
- At least 5 years of relevant compliance, legal, regulatory, audit or risk experience in a banking, broker-dealer or other regulated financial-services environment
- Substantial hands-on experience with BSA/AML and OFAC controls, customer due diligence, transaction monitoring or surveillance, investigations, regulatory filings, compliance testing, and support for audits or regulatory examinations
- Strong working knowledge of applicable banking, broker-dealer and financial-services requirements, including employee compliance, AML, sanctions, SEC, FINRA and conduct-related controls
- Experience supporting broker-dealer compliance programs, supervisory procedures, regulatory registrations, communications or research review, surveillance, books and records, and examinations is strongly preferred
- A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred
- FINRA Series 7, 24 and SIE licenses preferred or willing and able to obtain and maintain these licenses
- Strong analytical, organizational, drafting and communication skills
- Proficiency in Microsoft Office
- Ability to work with compliance monitoring, screening, surveillance and recordkeeping tools
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk AssessmentsTransaction MonitoringCustomer Due DiligenceCompliance TestingSurveillanceRegulatory ResearchIssue TrackingControl InventoriesGovernance MaterialsCompliance Reporting
Soft Skills
Analytical SkillsOrganizational SkillsDrafting SkillsCommunication Skills
Tools & Technologies
Compliance Monitoring ToolsScreening ToolsSurveillance ToolsRecordkeeping ToolsMicrosoft Office
Certifications & Qualifications
CAMS CertificationFINRA Series 7 LicenseFINRA Series 24 LicenseFINRA SIE License
Industry Keywords
BankingBroker-DealerFinancial ServicesRegulatory ComplianceSanctions AdvisorySEC RegulationsFINRA RegulationsConduct-Related ControlsEmployee ComplianceAudit Support