Risk Control / Compliance AML Associate

Highlighted responsibilities include:

· Coordinate and assist group leads with internal and external  audits

· Assist with annual anti -money laundering  audit preparation

· Coordinate, review and update of high-level transfer agency policies and procedures

· Identify and research suspicious persons/shareholders and their activities and transactions

· Report and provide documentation to AMLCO regarding suspicious persons and items

· Support internal and external legal counsel as needed relating to suspicious persons, items and transactions

· Prepare Suspicious Activity Reports as directed by AMLCO

· Review and research large trade notifications, transaction downloads, and other reports for violations

· Follow management instructions and procedures for contacting, placing on watch list, or banning shareholders

· Prepare monthly market timing reports



Required experience includes:

· Ability to make sound judgment on escalation items

· Experience with internet search engines and Internet investigation techniques

· Knowledge of the company's business and industry

· Skills to analyze reports and data to reach reasonable conclusions on shareholder identity and transactions

· Knowledge of USA Patriot Act, anti-money laundering regulations, privacy laws, and fraud trends

· Experience with Microsoft Access, databases, and report writers

· Strong phone skills for dealing with shareholders, relatives of lost shareholders, banks, and suspicious individuals

· Certified Anti-Money Laundering Specialist (CAMS) Certification or equivalent industry experience

· Series 6 and 63 and Bachelor’s degree  strongly preferred



Salary:  48k to 54k + excellent benefits and bonus

First Associates specializes in financial recruiting matching the highly skilled professional with industry leading corporations