Overview
AML, ABC and Sanctions Compliance Officer Jobs in New York, NY at Guggenheim Investments
Title: AML, ABC and Sanctions Compliance Officer
Company: Guggenheim Investments
Location: New York, NY
Responsibilities
Position Summary
Key Responsibilities
Interact with deal team to collect customer identification and beneficial ownership information
Conduct Know Your Customer due diligence on customers, counterparties, and third-party Intermediaries to identify and understand:
Source of funds, or use of proceeds as appropriate
Direct and indirect sanctions risks
Bribery and other financial crime risks
Other negative news risks
Potential suspicious activity
Determine appropriate customer risk profiles and escalate AML-related issues
Obtain AML certifications from clients/counterparties as appropriate
Review business travel to high-risk countries
Conduct annual review of high-risk clients and periodic review of medium/low risk clients
Respond to external KYC requests
Respond to AML-related escalations from various teams including Human Resources, Accounts Payable, CSR and other teams
Support the AML Director in assessing legal and reputational issues involving gifts and entertainment provided to a public official
Assist with quarterly and periodic AML-related testing
Manage screening tool for GPIM users and trouble-shoot issues
Assist in updating policies, procedures, and controls
Assist in ad hoc reviews to identify potential AML-related gaps
Qualifications
Preferred Qualifications
Bachelor’s Degree, Law degree is a plus
Requires knowledge of the Patriot Act, Bank Secrecy Act, Investment Advisors Act of 1940, and related rules
Preferred knowledge of international sanctions and bribery/corruption risk areas
Basic Qualifications
Requires strong communication skills, attention to detail, multi-tasking ability and effectiveness in a fast-paced environment
Ability to collaborate with other offices and periodic travel, as needed
Must be proactive, solutions-oriented, innovative; responsive to client needs, collaborative, and energized by the open exchange of ideas
Must adapt quickly and appropriately to the constant evolution of the company and industry
Salary Range
Annual base salary between
$115,000.00-$130,000.00
The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
