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Rockefeller Capital Management · 1 day ago

AML Analyst

New York, NY

Full-time

Onsite

Entry Level

$70K/yr - $80K/yr

1+ years exp

Rockefeller Capital Management is a leading independent financial advisory services firm established in 2018. The AML Analyst plays a crucial role in supporting the organization’s efforts to detect, prevent, and report money laundering activities while ensuring compliance with AML and sanctions regulations.

Financial Services

Growth Opportunities

Responsibilities

Evaluate alerts generated by the Firm’s transaction monitoring system (Actimize) to identify potentially suspicious transactions and customers who may pose a financial crime risk. Escalate findings in accordance with internal policies and regulatory requirements

Review and analyze real-time OFAC and sanctions-related transaction alerts to ensure compliance with applicable laws and regulations. Due to payment processing times, the AML Analyst will be required to work until 6 pm, 2-3 times per week

Conduct fraud and AML investigations into activities that may trigger a SAR filing requirement

Participate in regular internal and external training sessions to stay current on AML and sanctions regulations, industry best practices, and internal compliance policies

Assist in drafting team training, policies and procedures, and presentations

Work closely with other departments, including Compliance, Legal, Technology, and Operations, to ensure a coordinated approach to AML and sanctions compliance efforts

Qualification

AML monitoring softwareBank Secrecy Act (BSA)USA PATRIOT ActFinCEN/SARACAMS CertificationActimize EssentialsResearch skillsAnalytical skillsMultitaskingDrafting SAR NarrativesWriting skillsDecision makingCommunication skillsOrganizational skillsTime management

Required

Bachelor's Degree required

1-3 years of experience in reviewing customers and customer transactions for potentially suspicious activity and performing AML-related investigations using automated AML monitoring software

Knowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and FinCEN/SAR

Experience in securities within Private Wealth Management, ideally with a Broker-Dealer or Registered Investment Advisor

ACAMS Certification (or willingness to obtain)

Excellent research skills, including online research tools (LexisNexis and/or WorldCheck is a plus)

Strong writing, analytical, decision making/problem solving and communication skills

Able to multitask and complete projects timely

Strong organizational and time management skills

Experience drafting SAR Narratives

Preferred

SIE Exam and Series 7 are preferred

Actimize Essentials experience is preferred

Benefits

Health coverage

Vacation time

Paid leave

Retirement plan

And more

Company

Rockefeller Capital Management

Glassdoor4.2

At Rockefeller Capital Management, we aspire to bring the unique promise of the Rockefeller legacy together with a culture of innovation and cutting-edge technology to help discerning clients—individuals, families, businesses, and institutions—achieve their goals through the delivery of premier financial advisory and investment management.

Founded in 2018

New York, New York, US

1001-5000 employees