Financial Crime
2 days ago
About the Team:
The Business Risk team, which is a part of the Capital Markets Transfer Agent, supports various clients to ensure compliance with internal policies and all applicable laws and regulations aimed at combating money laundering, terrorist financing and other financial crimes. The team is responsible for monitoring, research and analysis of transactions and activities related to anti-money laundering (AML)/terrorist financing, fraud detection, market timing and other high-risk processes to ensure compliance with internal policies and applicable local and global regulations.
What you will be doing:
- Have good understanding of fraud/AML processes and procedures and have the ability to gain good understanding of regulations governing US.
- Monitor and escalate suspicious activity and reporting for various transaction monitoring processes and alerts to highlight accounts with suspicions of money laundering.
- Perform daily and periodic sanction screenings of new and existing customers in Lexis Nexis. Ensure compliance with all applicable regulations.
- Fraud Prevention, ongoing monitoring of existing customers through various sources of funds.
- Monitor and implement controls aimed at detecting and preventing internal and external fraud along with other frequent trading patterns.
- Review of CIP for customers and review referrals from potential matches on appropriate sanctions and PEP lists using applicable systems
- Review of various stop codes for the transactions and maintenance that took place on the accounts.
- Monitor and investigate account activity to identify potentially fraudulent behavior in an efficient and timely manner.
- Provides excellent customer service while serving as a telephonic concierge as needed
- Works with various internal and external clients and various departments to resolve outstanding issues, comply with customer requests, and respond to client inquiries.
- Perform investigations using account holder information in conjunction with alternative sources to verify and validate information and to maintain a focus on a fair outcome for the customers.
- Review of transaction monitoring alerts to identify suspicious patterns of customer behavior.
- Ensure compliance with all applicable regulations and other related duties assigned as needed.
What you bring:
- Candidate with TA business and applications knowledge.
- Candidate must be flexible to work in different shifts
- Bachelors degree with 4+ years Transfer Agent experience or equivalent Investment Industry experience
- Experience should include increasing levels of responsibility, interaction with management and other departments as it relates to ongoing responsibilities.
- Good understanding of fraud/AML processes and procedures.
- Fluent knowledge of English (spoken and written)
- Strong PC knowledge including use of MS Office products with a focus on Excel.
- Ability to perform work under minimal supervision.
- Ability to seek guidance when operating in unique situations.
- Ability to interact with team members in a multi-site environment.
- Strong time management skills and ability to handle multiple tasks.
- Ability to work both independently and in a team environment
- Ability to adapt quickly to change
- Demonstrate problem-solving and decision-making skills
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