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26 Aug 2020

Contract Compliance Specialist – AML

Modis – Posted by Nautiyal_a Orlando, Florida, United States

Job Description

The Compliance Specialist will be responsible for performing AML surveillance and customer identification for designated customers. This will entail researching systems, reports and records as well as interactions with numerous departments within the firm and with introducing broker dealers. This will require the ability to analyze new account documentation, respond to requests for information and regulatory inquiries, while also providing research supporting those requests. This role will also include the review of various surveillance reports including OFAC. This role will include some investigative research utilizing internal systems and publicly available news sources. This requires detailed analysis, as well as an understanding of securities trading and operations to perform the analysis and respond accordingly. This position requires excellent organizational, written and verbal communication skills. Associates or undergraduate degree preferred, but not required with equivalent previous experience. Knowledge of large securities firms and its trading or operational areas, as well as its books and records is preferred. The qualified candidate will have: excellent verbal and written communication skills; ability to manage through confrontational issues successfully and tactfully; good management skills; good interpersonal skills; computer proficiency; good analytical skills; good judgment; strong work ethic; ability to work independently and in a team environment; and good organizational skills. Anti-money laundering, SAR, fraud, CIP and OFAC experience is preferred.

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Job Categories: Financial Services. Job Types: Contract. Salaries: 40,000 - 60,000.

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