Overview
The AML CIU Sanctions Analyst II is responsible for supporting the firm’s sanctions compliance program by conducting client investigations, transactional investigations, security trade investigation while applying analyses of potential sanctions risks. This role involves reviewing escalations, interpreting new or updated sanctions (including OFAC and global sanctions), and performing gap analyses to ensure compliance with regulatory requirements and internal policies. The Analyst II will collaborate with cross-functional teams, provide subject matter expertise, and assist in the ongoing enhancement of sanctions-related processes and procedures. Responsibilities
Conduct reviews and investigations of potential sanctions matches, including escalations, reporting, and ongoing monitoring. Interpret and summarize new or updated executive orders and sanctions, performing gap analyses and coverage assessment to assess impact on clients, products, and business lines. Maintain a current understanding of sanctions, money laundering, and terrorist financing issues, including relevant policies, procedures, regulations, and industry best practices. Support the execution of the sanctions program and client due diligence in line with AML and sanctions policies and procedures. Collaborate with CIU leadership to recommend enhancements to governance programs and practices. Serve as a subject matter resource for sanctions-related inquiries, providing guidance to business and compliance personnel. Document findings, update sanctions tracking spreadsheets, and escalate concerns as appropriate. Perform reporting obligations to OFAC as needed and Annual OFAC Reporting through ORS. Participate in collaborative discussions to improve systems, processes, and tools used to identify sanctions risks. Assist in drafting and maintaining up-to-date policies and procedural documentation. Qualifications
Experience conducting financial crimes investigations, with an emphasis on sanctions, OFAC, and global regulatory requirements within a broker dealer. Strong understanding of AML, BSA, and sanctions compliance within a brokerage, including customer due diligence (CDD), enhanced due diligence (EDD), and know your customer (KYC) processes. Ability to analyze complex financial activities and identify potential risks. Familiarity with compliance analysis, reporting, and risk control mechanisms. Strong written and verbal communication skills, with the ability to summarize complex regulatory language and findings. Ability to work collaboratively across departments and with external stakeholders. Education and Experience
Minimum Required: Bachelor e2 80 99s degree or equivalent combination of education and experience. Minimum Required: 3+ years\' of financial industry or related experience; 2+ years\' of AML, sanctions, or related risk experience.
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The AML CIU Sanctions Analyst II is responsible for supporting the firm’s sanctions compliance program by conducting client investigations, transactional investigations, security trade investigation while applying analyses of potential sanctions risks. This role involves reviewing escalations, interpreting new or updated sanctions (including OFAC and global sanctions), and performing gap analyses to ensure compliance with regulatory requirements and internal policies. The Analyst II will collaborate with cross-functional teams, provide subject matter expertise, and assist in the ongoing enhancement of sanctions-related processes and procedures. Responsibilities
Conduct reviews and investigations of potential sanctions matches, including escalations, reporting, and ongoing monitoring. Interpret and summarize new or updated executive orders and sanctions, performing gap analyses and coverage assessment to assess impact on clients, products, and business lines. Maintain a current understanding of sanctions, money laundering, and terrorist financing issues, including relevant policies, procedures, regulations, and industry best practices. Support the execution of the sanctions program and client due diligence in line with AML and sanctions policies and procedures. Collaborate with CIU leadership to recommend enhancements to governance programs and practices. Serve as a subject matter resource for sanctions-related inquiries, providing guidance to business and compliance personnel. Document findings, update sanctions tracking spreadsheets, and escalate concerns as appropriate. Perform reporting obligations to OFAC as needed and Annual OFAC Reporting through ORS. Participate in collaborative discussions to improve systems, processes, and tools used to identify sanctions risks. Assist in drafting and maintaining up-to-date policies and procedural documentation. Qualifications
Experience conducting financial crimes investigations, with an emphasis on sanctions, OFAC, and global regulatory requirements within a broker dealer. Strong understanding of AML, BSA, and sanctions compliance within a brokerage, including customer due diligence (CDD), enhanced due diligence (EDD), and know your customer (KYC) processes. Ability to analyze complex financial activities and identify potential risks. Familiarity with compliance analysis, reporting, and risk control mechanisms. Strong written and verbal communication skills, with the ability to summarize complex regulatory language and findings. Ability to work collaboratively across departments and with external stakeholders. Education and Experience
Minimum Required: Bachelor e2 80 99s degree or equivalent combination of education and experience. Minimum Required: 3+ years\' of financial industry or related experience; 2+ years\' of AML, sanctions, or related risk experience.
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