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    AML and Privacy Compliance Analyst - Doral, United States - Corient Private Wealth LLC

    Corient Private Wealth LLC
    Corient Private Wealth LLC Doral, United States

    1 week ago

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    Description
    Join a team that values your ambition and empowers your growth


    At Corient, we help high- and ultra-high-net-worth individuals, families and high achievers of all types enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about.

    We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team.

    If you want to work for a company that values your contributions and supports your growth, we would like to meet you.


    The AML and Privacy Compliance Analyst will play an integral cross-functional role in ensuring that our organization adheres to applicable anti-money laundering (AML) and Bank Secrecy Act (BSA) regulations, privacy laws, and enterprise compliance standards.

    The candidate will work with key business stakeholders to monitor certain financial transactions, conduct KYC due diligence, assist with BSA, AML, and privacy policy implementation, and administration controls to ensure the integrity and security of our operations in compliance with regulatory expectations and the enterprise compliance program.

    Location
    Onsite (Hybrid): San Diego, CA, Miami, FL, New York, NY, and Chicago, IL

    Responsibilities


    AML Compliance:
    Assist with the maintenance and implementation of a robust enterprise risk-based BSA/AML Compliance Program.

    Collaborate with the operations department to assist with the harmonization of enterprise policies and local procedures designed to implement our BSA/AML Compliance Program.

    Support the vendor selection, tools, and management of resources related to the BSA/AML Compliance Program.

    Review and analyze heightened customer due diligence (CDD) as part of the client onboarding procedures and conduct ongoing research on existing clients designated as high-risk.

    Research, investigate, and resolve all red-flag reports generated internally or by third-party systems as part of our KYC and AML procedures including verification of positive hits of clients listed on OFAC and Treasury Sanctions list.

    Monitor and identify client transactions, including private fund capital calls and distributions, for red-flags.

    Process 314(a) request and assist with the preparation and filing of Suspicious Activity Reports (SAR) to FinCEN pursuant to the BSA and filing of Currency Transaction Reports pursuant to the BSA.

    Investigate and resolve problems related to adherence to OFAC (Office of Foreign Assets Control) and other sanctions programs.
    Prepare summary reports for compliance and senior management.


    Privacy Compliance:


    Horizon scanning about changes in privacy laws and regulations applicable to the Enterprise and communicating changes needed to enterprise policies and procedures.

    Investigate privacy issues and manage the lifecycle of resolutions with business units.
    Process requests for client privacy opt-out requests and ensure requests are communicated and effectively implemented in internal systems.

    Assist with monitoring and testing of company operations, processes, and procedures to ensure adherence with internal and external guidelines related to privacy, anti-money laundering, and anti-bribery and corruption.

    Collaborate with internal teams to report findings and escalate issues.
    Participate in audits and regulatory examinations.

    Qualifications

    Education & Experience:
    Bachelor's degree in business, Finance, Law, Financial Services, Management, Communication, Intelligence, or Political Science or equivalent work experience.

    Candidates to have a minimum of 2 to 5 years of relevant experience in anti-money laundering (AML) compliance, and/or privacy regulations, or related fields.

    Preferably in a role with a financial services firm subject to a U.S. Federal Functional Regulator (e.g., SEC, FINRA, OCC, CFTC, or FDIC regulated firms). Demonstrated subject knowledge in AML procedures, privacy laws, and risk assessment is highly valued.


    Certifications:


    Not necessary but certainly a pluss including IACCP, Relevant certifications such as CAMS (Certified Anti-Money Laundering Specialist), CFE (Certified Fraud Examiner), ACAMS (Association of Certified Anti-Money Laundering Specialists), SFMS (Certified Financial Services Security Professional), CFCS (Certified Financial Crime Specialist), OFAC (Office of Foreign Assets Control), BSA (Bank Secrecy Act), PRINCE (Projects in Controlled Environments), or PMP (Project Management Professional).


    Skills:
    Proficiency in bank operations, AML/BSA regulatory compliance processes, and procedures.
    Analytical skills for evaluating people, conducting financial institution audits, and understanding BSA and AML regulations.
    Ability to conduct investigations and examinations related to financial crime and illicit activities.


    This position is exempt and is paid according to the laws of the States ofCalifornia, Florida, New York, or Illinois based on location hired into.

    The pay range for this position is $69,000- $96,000 per year. We are required to provide a reasonable estimate of the compensation range for this role.

    This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, and other business and organizational needs.

    It is not typical for an individual to be offered a salary at or near the top of the range for a position.

    Salary offers are determined based on final candidate qualifications and experience.

    We are an equal opportunity employer.

    All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.

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