Analyst, Financial Crime Office

Equitable Advisors; Charlotte (NC); On-site; USD 58,000 - 65,000; Full time

Job summary

Join a forward-thinking organization as a Compliance Analyst in the Financial Crime Office. This role is crucial in ensuring compliance with legal and regulatory standards while investigating potential financial crimes. You'll collaborate with dynamic team members, leveraging your analytical skills to protect both clients and the company. With a focus on diversity and inclusion, this firm fosters a culture of growth and collaboration, providing you with the opportunity to make a significant impact in the financial services industry. Embrace this exciting challenge and unlock your potential in a supportive environment that values your contributions.

Benefits

Medical insurance

Dental insurance

Vision insurance

401(k) plan

Paid time off

Qualifications

• Knowledge of AML regulations and investigative techniques.
• Bachelor's degree or equivalent experience in financial services.

Responsibilities

• Conduct investigations related to suspected criminal activity.
• Analyze unusual client activity and potential market manipulation.

Skills

Business Analytics

Data Gathering and Reporting

Data Integrity

Document Management

Managing Multiple Priorities

Diversity, Equity and Inclusion

Education

Bachelor's degree

2+ years in AML-focused position

Job description

Primary Location

UNITED STATES-NC-Charlotte

Other Locations

Organization

Equitable

Schedule

Full-time

Description

At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

Equitable is currently looking to hire a Compliance Analyst within the Financial Crime Office (FCO), which is a part of Equitable’s Legal and Compliance organization. This exciting position is located in either Charlotte, NC or Syracuse, NY.

The Analyst, Financial Crime Office is part of a team that is responsible to promote and ensure that the Business operates in accordance with all legal and regulatory requirements. Additionally, monitors all Firm standards relating to Anti-Money Laundering (AML), Sanctions and Anti-Bribery/Corruption, so as to protect and enhance the reputation of the Firm with its regulators and avoid significant financial loss or reputational damage.

As a key member of the team, performs initial review of manually escalated AML referrals received via the FCO hotline mechanisms as well as conducts secondary review of automated detections escalated from the initial review team. Quickly and efficiently reviews matters providing specific investigative feedback to allow for appropriate protection of the client and the company. The Compliance Analyst works closely with other team members and assists with other investigative activities as assigned. Prepares updates to team governance documents such as the Investigations manual.
If you are ready for this exciting challenge, don’t hesitate and apply today!

As a key member of the team your responsibilities would include:

• Responsible for performing investigations related to suspected criminal activity. Retain case documentation and provide analysis of findings in written format.
• Research, analyze and investigate unusual client/policy activity or potential market manipulation schemes, penny stock manipulation scenarios, elder financial exploitation, and other investment product risks that could be indicative of money laundering.
• Investigate suspicious activity involving suspected money laundering or structuring of financial transactions to avoid government reporting requirements.
• The FCO Analyst must manage a case load in a fast-paced team responsible for investigating and filing SARs regarding money laundering investigations, and other financial crimes.

The base salary range for this position is $58,000 - $65,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

• Bachelor's degree or 2+ years working in a position focused on identifying AML red flags in the financial service industry.
• Knowledge of USA Patriot Act/Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) regulatory requirements, including comprehensive understanding of OFAC sanctions and CDD/KYC requirements.

Preferred Qualifications:

• Knowledge of the following:
  • Insurance process concepts.
  • Equitable's products, process and controls of the organization.
  • Equitable's policy, payment and other administrative systems for purposes of gathering triage evidence.
  • Investigative techniques and process.
• Excellent written and verbal communication skills.
• Highly analytical with a controls mindset.
• Working understanding of AML concepts and investigative techniques.
• Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands.
• Self-motivated with excellent time management skills.

Skills:

Business Analytics: Knowledge of technologies, techniques and practices for the evaluation of business performance data; ability to analyze business performance using advanced statistical methods to predict trends and providing forecasts that drive business decisions and business planning.

Data Gathering and Reporting: Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company.

Data Integrity: Knowledge of objectives, terminologies, and approaches of data integrity; ability to ensure the accuracy and consistency of data in various business environments.

Document Management: Knowledge of document management; ability to categorize, integrate, update, document and distribute business information in a secure, effective way.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Diversity, Equity and Inclusion: Demonstrates a commitment to Diversity, Equity and Inclusion by treating everyone with respect and dignity, ensuring all voices are heard and advocating for change.

ABOUT EQUITABLE

At Equitable, we’re a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at [phone] or email us at [e-mail].