Compliance Independent Assessment Analyst

**Role**: The Compliance AML Sr. Analyst role reports to the Compliance Independent Assessment (CIA) branch of the Independent Compliance Risk Management (ICRM) Program. This role is responsible for the ongoing monitoring and testing activities of the firm’s AML, Sanctions and Anti-Bribery and Corruption risks and/or other business metrics. These assist in the organization´s identification of potential violations of Laws, Rules, and Regulations or breaches of Policies in coordination with the broader ICRM team. The overall objective is to utilize established disciplinary knowledge to identify inconsistencies in processes or results and formulate strategic recommendations on policies, procedures, and practices.

**Key Job Responsibilities**:

- Participates in the planning, executing, and reporting through compliance independent monitoring reviews and regulatory issue validation activities in accordance with our Compliance Independent Assessment (CIA) Plan.
- Perform activities (ad-hoc and on-going targeted monitoring) to independently assess the design and effectiveness of key controls intended to address compliance risk.
- Determine the root cause that contributed to or directly caused an issue, to establish reasonable steps that are needed to minimize or eliminate repeated exceptions.
- Track and follow up on the identified issues, with business lines, to validate that an identified issue has been mitigated.
- Report and escalate control issues and any other violations related to the applicable laws, rules, regulations, or breaches of policies.
- Innovate and generate new ideas, concepts, and models to improve methods in obtaining and evaluating quantitative and qualitative data. Identify relationships and trends in data, as well as any factors that could affect the results of research.
- Question and validate assumptions and status quo. Escalate identified risks and sensitive areas in terms of methodology and processes.
- Document solutions and present results in a simple, comprehensive way to non-technical audience, as well as write more formal documentation demonstrating professional standards.
- Perform compliance controls monitoring activities based on the pre-defined monitoring plan and report any findings to the Compliance Monitoring Management team as necessary and document them accordingly.
- Utilize innovative compliance monitoring solutions including Data Analytics to enhance the value and efficiency of compliance-related activities to address emerging risks.
- Develop effective and collaborative relationships with stakeholders within and outside the Compliance Monitoring (CM) function. Integrate with outside stakeholders, such as business and technology process owners.
- Promote knowledge sharing and best practices across Independent Compliance Risk Management and the organization.
- Escalate to management any significant compliance matters that require their attention or action.
- Additional duties as assigned

**Qualifications**:

- 5+ of years experience in AML, KYC, transaction monitoring, alert clearing, cases reviews and investigations.
- A comprehensive understanding of the regulatory and compliance environment surrounding AML, Sanctions and Anti-Bribery and Corruption.
- Fluent in English and Spanish with the ability to demonstrate this throughout your professional development.
- Significant knowledge of Compliance laws, rules, regulations, risks and typologies.
- Awareness of Compliance Risk Management Framework, policies, standards, guidelines, and procedures. As well as the ability to interpret regulations applicable to the organization.
- Demonstrate an ability to assess complex issues through root cause analyses and other applicable techniques; structure potential solutions; reputation for resolving difficulties with senior stakeholders.
- The ability to influence and lead people across cultures, using sound judgment as when to escalate issues to senior management.
- The ability to identify opportunities for enhancement within the current procedures of the company and ensure all aspects of legality are followed across countries.
- Understanding of relevant rules, laws, regulations applicable to money laundering and specific regulatory requirements of Suspicious Activity Reporting.
- Critical thinking and maturity will be important for self-managing workload and responsibilities.
- Material and communications will have to be written at a professional level.
- Presentation skills will be important for highlighting regional understanding of AML, regulations, and related policies.
- Strong communication skills with the ability to articulate complex problems and solutions through concise and clear messaging with written, verbal, and analytical abilities.
- Experience with working collaboratively with regional and global partners in other functions.
- Experience in supporting regulatory exams and relationships with examiners, auditors, etc.
- Excellent oral communication and writing ski