Senior Analyst, Counterparty AML Management
Core
Oversee Customer Due Diligence (CDD) processes for onboarding and periodic reviews of Members, assess sanctions risks, and evaluate the effectiveness of financial crime systems in the Capital Markets sector.
Role type
Senior Analyst, Financial Crime Compliance
Builds
Robust Anti-Money Laundering and Sanctions controls for Exchanges and Clearing Houses
Domain
Financial Services / Capital Markets / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Customer Due Diligence (CDD), Sanctions risk assessment, Financial Crime systems evaluation, Policy development, Training delivery, Regulatory reporting, Team resource allocation, Process improvement, Management information reporting, Outsourcing management
Preferred skills
AML qualification (ICAC/ACAMS), People management, Coaching, AI process improvement
Technologies
Sanctions screening tools, PEP screening tools, Adverse media screening tools, AI tools
Responsibilities
Oversee CDD activities for new Member onboarding and periodic reviews. Act as a subject matter expert and escalation point for onboarding and reviews. Maintain oversight of CDD file completeness. Conduct reviews of high-risk Member relationships. Manage and resolve high-risk alerts from screening tools. Develop and update AML and sanctions policies. Deliver training on KYC/AML and sanctions risk. Collaborate with Legal and Compliance on regulatory reporting. Allocate team resources effectively. Identify process improvement opportunities. Support ad hoc projects and strategic initiatives. Create management information reports. Enhance global KYC processes. Represent the department in executive forums.
Seniority
Senior, hands-on IC with people management