A FinTech oriented financial institution seeks a Compliance professional to manage an array of important FCPA matters.

The Compliance professional will support the Financial Crime Compliance function by performing Anti-Money Laundering, sanctions, and FCPA activities. This will include assisting in the development, implementation and monitoring of compliance technology tools associated with existing and planned products, and assisting in automating department workflow and the upgrading of compliance related technology systems. The person will also provide data analytics and data mining solutions, MIS/reporting solutions and support for compliance system implementation and administration. He/she will serve as primary quality assurance representative.


  • Develop case management process to record monitoring investigation methodology
  • Serve as quality assurance representative for the team to maintain constant state of audit readiness
  • Perform KYC duties for fund and other third party customers such as sight check names and addresses, perform Sanctions screening and data entry related to approval of the parties
  • Perform and assist with KYC / On-boarding and AML and Sanctions related investigations and monitoring
  • Support the enhancement of the AML and Sanctions frameworks with a focus on data analytics, data mining and IT support (Excel, Microstrategy, IT projects)
  • Enhance controls framework for tracking tasks
  • Work with Group Head and the wider Compliance team to foster a culture of compliance
  • Support the day to day execution of an AML / Sanctions compliance program by managing and conducting a selection of Compliance tasks including:
    • AML investigations and disposition of sanctions alerts
    • Conduct KYC due diligence, enhanced due diligence, customer risk scoring, data mining and research as directed by more senior members of the Compliance team as appropriate
    • Complete the accompanying administration associated with due diligence, such as drafting reports and accompanying notes
    • Support special projects associated with AML & sanctions, including developing and refining data analytics
  • Analyze AML / Sanctions related data (data mining) and Reporting
  • Run data and spreadsheet reports as requested based on specific criteria. Expected to create increasingly complex reports over time (e.g. individual customer profile, year-on-year growth of customers by region, for each currency, and grouped by counterparty type, etc)
  • Support the creation and implementation of RegTech and technology solutions for new products and initiatives
  • Ensure Compliance’s requirements are met with respect to new products, strategic initiatives, and technology upgrades
  • Support Internal Audit reviews aimed at testing adequacy of key AML and Sanctions policies and procedures
  • Provide quality assurance and general AML subject matter expertise
  • Proactively develop and maintain collaborative working relationships with stakeholders at all levels

Essential / Desired Qualifications

Experience, education and any certifications as necessary for successful job performance

  • Bachelor’s Degree, or equivalent. JD, MBA or CFA preferred
  • Minimum of five years or more work experience in Banking and/or Financial Services / technology consultancy firms
  • Demonstrable AML technology systems and quality assurance subject matter expertise
  • Certified Anti-Money Laundering Specialist, or willing to pass the exam within six months of hire


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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