AML Compliance Intermediate FIU Analyst - Surveillance & Investigations

at  Brown Brothers Harriman

At BBH we value diverse backgrounds, so if your experience looks a little different from what we’ve outlined and you think you can bring value to the role, we will still welcome your application!
What You Can Expect At BBH:
If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever you can. You will have direct access to clients, information and experts across all business areas around the world. BBH will provide you with opportunities to grow your expertise, take on new challenges, and reinvent yourself—without leaving the firm. We encourage a culture of inclusion that values each employee’s unique perspective. We provide a high-quality benefits program emphasizing good health, financial security, and peace of mind. Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage. Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others.
Brown Brothers Harriman is currently recruiting an Intermediate FIU Analyst -to join our AML Compliance team. The Intermediate FIU Analyst is responsible for ensuring that AML Compliance’s activities follow the necessary rules and regulations by providing compliance support and expertise within established guidelines. The Intermediate FIU Analyst is responsible for identifying and resolving problems in a timely fashion, while considering internal guidelines and outside regulatory requirements.
Specific responsibilities include resolving complex investigations, completing all processes in connection with suspicious activity reporting (SAR), updating policies and procedures when necessary and executing special projects (such as expected activity validation) related to BBH’s surveillance and monitoring program. The Intermediate Analyst will be responsible for drafting investigative reports with recommendations for appropriate disposition, which are supported by factual evidence and analysis, to Manager. The position operates independently as a trusted advisor to BBH’s business lines and is involved with the most complex aspects of the function.
This is a dual function role supporting workstreams as needed within the Financial Intelligence Unit as needed. Specific responsibilities include conducting transactional reviews of client account activity, due diligence reviews, investigations and draft Suspicious Activity Reports, review of internal escalations, and other special projects. Candidate will apply judgement and analysis to make recommendations for appropriate disposition, which are supported by factual evidence and analysis, to Manager. Support senior staff in performing various global AML surveillance and monitoring and reporting of suspicious activity.

Some of your key responsibilities include:

• Reviews monthly and daily transaction alerts, client trading activity, client file review, conducts due diligence searches and metrics.
• Act as a mentor and primary point of contact for junior surveillance analysts.
• Oversee alert reviews to ensure completed within requisite time frames and in accordance with procedure(s).
• Guide analysts conducting real-time transaction monitoring for interdicted names;
• Provide training to surveillance analysts as needed.
• Regularly updates and ensures accuracy of all tracking logs;
• Supports senior staff in responding to regulatory and internal audit requests, as well as ad-hoc transaction reviews;
• Manage a team of junior analysts to ensure procedures are being executed properly and analysts are applying logical rationale in decisioning alert and other reviews;
• Conducts User Acceptance Testing (UAT) for system enhancements and documents work product by overseeing the assignments and ensuring tasks are completed in a timely manner;
• Conduct investigations and prepare Suspicious Activity Reports;
• Master both proprietary and vendor-based systems to help identify solutions to surveillance issues that may arise in day-to-day activity;
• Actively participates in the annual AML risk assessment by testing adherence to the AML policy and procedures by the LOBs;
• Conduct quality assurance tests of surveillance alerts and investigations;
• Ensures timely completion of all mandatory training requirements;

Qualifications:

• BA/BS Degree. Finance, Economics or Business degrees preferred.
• 5+ years AML compliance experience preferred
• Strong written and oral communication skills
• Strong organizational and analytical skills
• Critical thinking
• Capable of executing a range of complex tasks and analyses
• Ability to multi-task and attention detail
• Strong knowledge of Actimize or similar transaction monitoring system
• Proficiency with Excel, Word, PP
• Working knowledge of securities markets a plus

This role is based in our New York City location and is a hybrid role, with three days per week in office.
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.
Salary Range
$80k-$110k base salary + annual bonus target
BBH’s compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH’s total rewards package recognizes your contributions with more than just a paycheck—providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.

• Reviews monthly and daily transaction alerts, client trading activity, client file review, conducts due diligence searches and metrics.
• Act as a mentor and primary point of contact for junior surveillance analysts.
• Oversee alert reviews to ensure completed within requisite time frames and in accordance with procedure(s).
• Guide analysts conducting real-time transaction monitoring for interdicted names;
• Provide training to surveillance analysts as needed.
• Regularly updates and ensures accuracy of all tracking logs;
• Supports senior staff in responding to regulatory and internal audit requests, as well as ad-hoc transaction reviews;
• Manage a team of junior analysts to ensure procedures are being executed properly and analysts are applying logical rationale in decisioning alert and other reviews;
• Conducts User Acceptance Testing (UAT) for system enhancements and documents work product by overseeing the assignments and ensuring tasks are completed in a timely manner;
• Conduct investigations and prepare Suspicious Activity Reports;
• Master both proprietary and vendor-based systems to help identify solutions to surveillance issues that may arise in day-to-day activity;
• Actively participates in the annual AML risk assessment by testing adherence to the AML policy and procedures by the LOBs;
• Conduct quality assurance tests of surveillance alerts and investigations;
• Ensures timely completion of all mandatory training requirements