Under limited supervision, specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, and/or certification are used to monitor and investigate transactions for suspicious activity to ensure compliance with AML rules and regulations. Assists on projects of moderate scope and complexity and serves as a technical advisor to various business lines. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research, and resolve problems. **Responsibilities** + Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations. + Documenting and reporting the investigation findings in the case management system and preparing reports to management as required. + Drafting reports detailing work performed and conclusions reached, which require minimal editing and provide a clear message including suggested corrective and/or remedial action. + Developing metrics and reporting measures as directed and reporting results to management. + Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate, to Management. + Perform reviews and analysis utilizing internal and third-party research tools. + Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act. + Mentor colleagues/peers on internal AML policies, rules, and regulations. + Inform senior management about issues that may involve rule violations or potential liability. + Maintain currency in laws and regulations pertaining to anti-money laundering compliance. + Perform other duties and responsibilities as assigned. **Skills:** + Customer Due Diligence, Enhanced Due Diligence, and other KYC policies and procedures. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the USA PATRIOT Act. + Experience with investigative techniques and report writing. + Securities industry knowledge and/or financial services industry experience. + Fundamental investment concepts, practices, and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. + Administering anti-money laundering policies and procedures. + Planning and scheduling work to meet regulatory organizational, and regulatory requirements. + Identifying and applying appropriate compliance monitoring procedures and tests. + Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Communicate effectively, both orally and in writing. + Independently research and resolve issues while working across teams to acquire information. + Provide a high level of customer service. + Establish and maintain effective professional working relationships at all levels of the organization. + Handle highly confidential information professionally and with appropriate discretion. + Maintain currency in anti-money laundering rules and regulations, compliance examination techniques, and best practices. **Licenses/Certifications** + CAMS is required or the ability to obtain within 18 months of employment or a designated time frame established by the manager.