Compliance AML-CIU Intl Analyst

About the role

Stifel strives for a culture that prioritizes its clients and associates, fostering one where everyone feels welcome and valued. This culture supports success for both clients and employees.

Responsibilities

• Reviews international clients from a risk-based approach.
• Conducts surveillance reviews to identify potential suspicious transactional activity.
• Performs a holistic Enhanced Due Diligence (EDD) review of high-risk customers.
• Monitors transactions for possible money laundering and terrorist financing.
• Investigates, documents, and identifies suspicious activity.
• Prepares and files Suspicious Activity Reports (SARs).
• Conducts adverse media searches and suggests account restrictions/closures.
• Conducts Customer Due Diligence (CDD) reviews for Politically Exposed Persons (PEPs), sanctioned individuals, and negative news/derogatory information.
• Onboards new foreign and international Capital Market clients.
• Performs extensive background investigations using public and private databases.
• Identifies potential gaps in AML CDD/EDD/Global Sanction processes and offers solutions.
• Assists with compliance associate training and development.

Qualifications

• Understanding of AML BSA Compliance for CIP, KYC, CDD, EDD, transaction monitoring, and global sanctions for US and foreign clients.
• Knowledge of market surveillance and the ability to identify and report suspicious activity.
• Working knowledge of compliance analysis and reporting with the ability to identify and affect appropriate risk and control mechanisms.
• Spanish fluency with the ability to speak and read English and Spanish regarding review of documents is preferred.
• Previous experience onboarding foreign clients and conducting holistic EDD reviews of high-risk foreign clients is preferred.
• Bachelor's Degree or combination of education and relevant work experience with 1+ years of experience in Anti-Money Laundering or experience in bank, brokerage, and trust transactional reviews.
• FINRA SIE, Series 7, and Series 63 licenses are preferred.
• CAMS certification is preferred.
• Proficient in Microsoft Office, including Outlook, Word, Excel, and PowerPoint.
• Familiarity with AML software and SQL Server.

Skills

• Strong understanding of complex transactional life cycles within a financial enterprise, including brokerage, banking, lending, credit cards, and investment banking.

Benefits

At Stifel, you will find comprehensive benefits including health, dental, and vision care, a 401(k) plan, wellness initiatives, life insurance, and paid time off. Stifel is committed to equal opportunity employment.