The Sr Investigator, Ongoing Due Diligence Investigations will conduct ongoing due diligence reviews of high-risk customers to determine if there have been any changes to the client risk profile and escalate profile risk changes for further investigation when warranted.

WHAT ARE WE LOOKING FOR?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

REQUIREMENTS:

• Bachelor’s degree
• 3-5 years of experience in financial crime in such activities as conducting suspicious activity alert reviews for money laundering or fraud, customer screening reviews, or testing controls related to money laundering or fraud.
• Strong knowledge of the brokerage and advisor industry.
• Strong knowledge of AML laws, regulations, and industry best practices, including, but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, Financial Action Task Force (FATF) recommendations, and Office of Foreign Assets (OFAC) Regulations.

• Conducts ongoing (or periodic) due diligence reviews of customers as required by the customer profile and in line with the firm’s periodic refresh requirements.
• Leverages customer transaction activity in conjunction with the customer’s background through open-source investigation to ensure the customer’s activity is in line with the understood nature and purpose of the customer relationship.
• Responds to trigger-based events to advance the review of customer risk profile changes outside of the standard periodic refresh requirements.
• If a risk profile change is identified beyond what is maintainable, they will escalate to the investigations team for potential SAR filing and/or work directly with the AML Client Review Working Group to exit the relationship as warranted.
• Participates in supporting management by responding to legal, regulatory, or internal audit inquiries as warranted.
• Assists management in providing training and guidance to more junior team members