Compliance Specialist

ReKruiting Advisors LLC.; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

ReKruiting Advisors LLC. is seeking a Compliance Specialist to review new customer files and oversee AML controls. The role requires deep knowledge of U.S. securities regulations and active involvement in regulatory exams and audits.

The candidate will update AML policies, monitor transactions for suspicious activity, and ensure timely filing of certifications while coordinating with auditors and regulators.

Qualifications

• 3+ years of experience in reviewing customer information and performing AML or financial investigations.
• In-depth knowledge of U.S. securities regulations, FINRA/SEC/NFA/CFTC rules, and general regulatory compliance matters.
• Knowledge of money laundering, terrorist financing and related crimes including BSA, USA PATRIOT Act, OFAC, SAR requirements.

Responsibilities

• Review and verification of all new customer account files.
• Update company AML policies and procedures.
• Oversee the process for review of transactions for suitability, accuracy, and suspicious activity.
• Monitor regulatory requirements related to the Bank Secrecy Act, Patriot Act, and OFAC regulations and guidance from U.S. and foreign regulators.
• Assist with AML review/investigations of account activity.
• Ensure regulatory certifications are filed in a timely fashion.
• Production and distribution of the KYCDashboard to track renewal progress of onboarded clients.
• Oversee administration of employee continuing examination requirements, including FINRA CE, Firm Element training, and other Firm-required training.
• Ongoing participation in response to Internal Audit requests.

Skills

AML experience

Regulatory knowledge

Job description

Compliance Specialist

Key Responsibilities

• Reviewandverificationofallnewcustomeraccountfiles.
• UpdatecompanyAMLpoliciesandprocedures.
• Overseetheprocessforreviewoftransactionsforsuitability,accuracy,andsuspiciousactivity.
• MonitoringlegalandregulatoryrequirementsrelatedtotheBankSecrecyAct,PatriotAct,andOFACregulations,andguidancefromU.S.andforeignregulators.
• AssistwithAMLReview/investigationsofaccountactivity.
• Ensureregulatorycertificationsarefiledinatimelyfashion.
• ProductionanddistributionoftheKYCDashboardtotrackrenewalprogressofon-boardedclients.
• Overseeadministrationofemployeecontinuingexaminationrequirements,includingFINRACE,FirmElementtraining,andotherFirm-requiredtraining.
• OngoingparticipationinresponsetoInternalAuditrequests.

Qualifications

• 3+ years of experience in reviewing customer information and performing AML or financial investigations; or equivalent securities industry experience.
• In-depth knowledge of U.S. securities regulations, FINRA/SEC/NFA/CFTC rules, and general regulatory compliance matters.
• Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.