Compliance Analyst - Enhanced Due Diligence
- Riverforest
- 5 - 10 years
- Mumbai
- 10 months ago
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Job Description
Role & responsibilities
We are looking to hire a New Accounts Enhanced Due Diligence (EDD) Analyst. The New Accounts EDD Analyst will report to the EDD Manager and will be responsible for performing EDD reviews of applicants to ensure compliance with applicable self-regulatory organization rules, as well as anti-money laundering, counter-terrorist financing, sanctions, and securities laws and regulations such as the Bank Secrecy Act and USA PATRIOT Act.
Responsibilities:
- Conduct Know Your Customer (KYC) analysis and risk profiles in accordance with policies and procedures.
- Perform due diligence on higher risk customers and industries.
- Research negative news utilizing the public domain, open sources and third party databases for higher risk clients and related parties.
- Summarize information from multiple sources and make decisions by leveraging critical thinking and analytical assessment and
- Ability to multi-task and prioritize several initiatives and assignments while meeting deadlines
Experience Required:
- 5-8 years of experience in AML/BSA/KYC compliance at customer onboarding with a large broker-dealer or other financial institution with an international customer base
- Ability to develop operational solutions that satisfy relevant regulations while executing sound business judgment.
- Ability to work in a fast-paced environment, work independently, perform as part of a team, and multi-task with minimal supervision.
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
- Outstanding communication, analytical, and project management skills.
- Willingness and ability to obtain financial registration exams promptly.
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification, and FINRA Series 7 or 24 are highly preferred.
Qualifications:
- Bachelors Degree required or equivalent.
Job Classification
Industry: Financial Services (Broking)Functional Area:
Role Category: Security / Fraud
Role: Security / Fraud
Employement Type: Full time
Education
Under Graduation: Any GraduatePost Graduation: Any Postgraduate
Doctorate: Any Doctorate
Contact Details:
Company: RiverForest Connections Private LimitedLocation(s): Mumbai
Keyskills: Compliance Analysis Enhanced Due Diligence AML KYC EDD PEP
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