Compliance, Financial Crime Compliance, DS&I, Vice President, New York

About the role

Global Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Responsibilities

• Capturing, analyzing and documenting business requirements and functional specifications
• Data sourcing, data analysis and identifying data requirements
• Assist in development and implementation of KYC analytics
• Data and surveillance validation planning and execution
• Project tracking and execution
• Conduct investigative and testing reviews of FCC’s controls and related partnered controls
• Draft detailed investigative and testing reports, including opinions, findings and corrective action plans
• Documentation of project artifacts for Compliance testing, Model Validation, regulatory and audit purposes

Requirements

• A minimum of 5 or more years of prior experience in an analytical role in Financial Crimes Compliance, with an emphasis on KYC is preferred.
• Bachelor degree in Engineering/Technology with relevant work experience
• Understanding of AML and terrorist financing trends and typologies
• Experience with Data Lake, Tableau/Qliksense/Qlikview, Excel (pivots, VLookups) and/or other data analytics/visualization tools
• Ability to deal with data models and work on mapping data across platforms
• Strong knowledge of databases, SQL scripts and querying large data sets

Skills

• Strong analytical skills
• Ability to collaborate with others
• Manage workflows and multi‑task
• Excellent organization and project management skills – ability to execute and manage a project independently