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Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence processes. Proficient in regulatory reporting, compliance monitoring, and collaboration across various functions within a regulated financial services environment.
Highest-signal resume keywords
BSA/AML ComplianceOFAC ComplianceCustomer Due DiligenceRegulatory ReportingCompliance Monitoring
About the role
Key responsibilities & impact- Perform assigned risk-based compliance monitoring and testing for the Branch and SEBSI
- Execute transaction-monitoring and surveillance activities, including reviewing alerts, gathering information, preparing disposition records and following up on open requests
- Execute customer onboarding, risk-rating, due-diligence and periodic-review controls, including completeness checks, sanctions screening and record maintenance
- Provide backup coverage for AML/BSA and OFAC controls, including customer due diligence, transaction monitoring, investigations, sanctions screening, regulatory reporting support, testing, recordkeeping and remediation
- Perform employee compliance reviews and administrative activities, including brokerage-account and personal-account-dealing reviews, outside business activities, gifts and related pre-clearance
- Support SEBSI broker-dealer compliance activities, including registration administration, monitoring, surveillance, research or communications review, books and records and examination support
- Maintain system access, control calendars, evidence repositories and assigned records
- Conduct regulatory and legal research and assist with drafting compliance materials
- Prepare data and narrative updates for compliance reporting
- Help prepare and administer compliance training and maintain completion records
- Collaborate with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance and assurance functions
- Maintain procedures, orderly handoffs and process improvements, and serve as trained backup for recurring team controls
Requirements
What you’ll need- Minimum bachelor’s degree with 2 or more years of relevant compliance, legal, regulatory, audit, operations or risk experience in a banking, broker-dealer or other regulated financial-services environment, or an equivalent combination of education and relevant experience
- Hands-on experience across BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence and onboarding controls
- Ability to follow established procedures, evaluate supporting information, document work clearly, meet recurring deadlines and escalate issues promptly
- Strong analytical, organizational, drafting and communication skills, with careful attention to detail and effective follow-through
- Proficiency in Microsoft Office and ability to learn and use compliance monitoring, screening, surveillance and recordkeeping systems
- Ability and willingness to obtain and maintain FINRA Series 7, 24, and SIE licenses
- Relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, preferred
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-Based Compliance MonitoringTransaction MonitoringSanctions ScreeningRegulatory ResearchData Analysis
Soft Skills
Analytical SkillsOrganizational SkillsCommunication SkillsAttention to DetailFollow-Through
Tools & Technologies
Microsoft OfficeCompliance Monitoring SystemsSurveillance SystemsRecordkeeping Systems
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA SIECAMS
Industry Keywords
ComplianceRegulatoryBroker-DealerFinancial ServicesAudit