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Years of Experience
Date Last Verified
Senior Compliance Analyst The candidate will analyze comparative data, prepare and present regional and global reports related to sanctions risk assessments, and monitoring of sanctions related issues and escalations with senior management and global partners. Support a specialized team of Independent Compliance Risk (ICRM) officers responsible for program execution activities. Contribute to the design and maintenance of a comprehensive written ICRM Sanctions Framework (standards and policies). Partner with functional partners and key stakeholders – regionally and globally, as applicable, to ensure potential risks are identified during due diligence, or escalated on an ad hoc basis, are appropriately vetted and addressed. Identify and escalate to the Chief Sanctions Officer material risks and significant instances of not adherence to the Framework by accountable front line units; directs investigations in coordination with GIU, CSIS, Legal, HR or as appropriate. Monitor adherence to the bank’s Global Sanctions Policy and relevant procedures; is up to date on key Sanctions regulatory changes, key enforcement actions and related industry trends. Oversee adherence to procedures and processes, to ensure compliance with policies ensuring that front line units meet required standards. Interact with relevant teams to raise awareness of Sanctions trends, emerging issues, remedial actions or enhancements to the program. Support efforts in connection Internal Audit and functional regulators in Program exams and evaluations; tracks and challenges remedial actions from the front line units. Draft and edit sanctions-related reference materials; support the various electronic record-keeping logs for sanctions licenses, voluntary disclosures; subpoenas etc.; participate in sanctions training programs. Analyze transaction message types (e.g., SWIFT message types) and fields to assign standard mapping values (naming conventions) and determine which fields may contain sanctions-related information for sanctions screening. Support the execution of transaction screening projects including working with the relevant Business, Operations, Compliance and Technology teams. Create and maintain Requirements Traceability Matrices for each mapping initiative. Partner with other teams within Sanctions Compliance and Technology to prioritize the delivery of efforts within the program pipeline. Provide support to management in enhancement and maintenance of processes and procedures to ensure adequate controls are in place. Participate in ad-hoc exercises which may involve large amounts of data, attention to detail and strong knowledge of Sanctions Compliance objectives. Coordinate the process for data extraction, analysis and preparation of the contents update for the bank’s screening applications to ensure transactions messages are correctly being screened. Maintain formal mapping documentation, from creation through project closure. Support the completion of multiple parallel transaction mapping projects and ensuring on-time closure of each project. Conduct Post-Project Implementation Reviews to document lessons learned; implement lessons learned on a continuous basis.
Qualification and Experience
The candidate must have a Bachelor’s degree or equivalent required; J.D., M.B.A., or graduate-level degree is a plus. Should have 3+ years of work experience in an international financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof. Should preferably have expertise of AML and Sanctions regulations, risks and typologies. Must have excellent written and verbal communication skills. Experience in banking, preferably on the institutional/corporate side, with 2+ years of relevant experience in business operations with a direct experience of transaction message types and content is preferred. Prior experience with ICG TTS Operations or ICG Markets and Securities Services Operations is a plus. Firm understanding and working knowledge of program management and OFAC/Sanctions processes and business systems is desired. Knowledge of banking products and operations is a plus. Fluent English (spoken and written) is required. Proficiency in Microsoft Word, Excel (e.g., pivot tables, formulas), and PowerPoint is needed.
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