Associate - First Line Risk and Controls, Negative News Research and Investigati

Responsibilities

Perform in-depth reviews and investigations into complex matters related to negative news to determine possible/existing financial crimes and/or any relevant reputational risk impact to the Firm

Execute processes and tasks supporting the Firm’s centralized NNS program

Communicate with front office and risk personnel during course of reviews where needed

Complete and document escalation dispositions, including aggravating and mitigating factors

Engage in further escalations to Senior stakeholders within Wealth Management, US Banks and/or ETRADE businesses, and prepare relevant working group/forum information as applicable

Assist with actions or remediation of risk issues with partners in First Line Risk and Controls, Global Financial Crimes, Compliance and the Business Units

Update policies, procedures and desktop guidance

Participate in projects/initiatives to enhance the NNS processes and mitigate related risk exposure

Requirements

2-4 years of relevant experience with BSA/AML Regulations within the financial services, industry, or at a financial services regulator

Bachelor’s degree in business, Finance, or other related field

Strong knowledge of Know Your Customer and Customer Identification Program, CDD and EDD requirements and expectations

Has research and investigative experience

Able to analyze information for appropriate decision-making

Can work both independently and in a collaborative setting

Possesses strong interpersonal skills and ability to communicate effectively both verbally and in writing

Has strong work ethic as well as a high degree of integrity

Able to work in a high volume, fast paced environment

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