AML and Sanction Associate
Intesa Sanpaolo · New York, United States · 4d ago
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Overview
Within Intesa Sanpaolo IMI Securities Corporation NY, the AML/KYC Associate provides oversight of the firm’s BSA/AML program and has primary responsibilities regarding new account documentation and all BSA/AML and OFAC Sanctions Regulations. Other general responsibilities include monitoring and reporting of employee electronic communications.
What you'll be doing
You will be in charge of the the following activities:
- maintenance and revision of the firm’s AML policies and procedures
- provide advice and guidance to the trading desks and Operations during new client onboarding
- monitor firm’s activity and identify AML risks
- conduct analysis, document review and approvals, and obtain information about customers at onboarding (KYC)
- monitoring and updating Customer Risk Rating
- sanction screenings for new customers and perform document refresh
- assist with reporting of AML reports to Head Office
- monthly and Quarterly reporting of RAF indicators to Head Office and Semi-annual Compliance and Controls reporting to Head Office
- conduct enhanced due diligence, Customer Diligence and identify Ultimate Beneficial Owners (UBO)
- FINRA and SEC Blue sheets submissions
- FinCEN 314 (a) reporting and screening of the names required by FinCen
- provide administrative support for Chief Compliance Officer
- conduct Bloomberg electronic communications reviews, SMARSH phone communication reviews and monthly reporting.
Who we are looking for
If you are looking to turn your passion into a career and meet the following requirements, we would be delighted to hear from you:
- 3-5 years of experience in similar role
- experience using Sanction/AML tools e.g. Lexus/Nexus, World Check
- proficiency in Excel
- familiarity with The Financial Action Task Force (FATF), USA PATRIOT Act & Bank Secrecy Act (BSA) and FinCEN
- client Onboarding, KYC and Risk Assessments
- bachelors Degree.
Preferred skills: ACAMs.
What we offer
- The salary range for this position is 100k $- 130k $
About us
Intesa Sanpaolo IMI Securities Corporation is a U.S. broker/dealer headquartered in the State of New York. It is indirectly controlled by Intesa Sanpaolo and is part of its IMI Corporate & Investment Banking Division. In the United States, Intesa Sanpaolo IMI Securities Corp. is a registered broker-dealer with the Securities and Exchange Commission, a FINRA member firm, and a member of the New York Stock Exchange LLC.
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