Financial Crime

• The Sr. Associate, AML Compliance is responsible onboarding of High Net Worth (HNW) and Ultra High Net Worth (UHNW) clients.
• Perform enhanced due diligence (EDD) on new and existing HNW/UHNW clients, including source of wealth, source of funds, and reputational risk reviews.
• Oversee KYC onboarding processes, ensuring compliance with broker-dealer and regulatory requirements.
• Monitor transactions for unusual or suspicious activity, with a focus on high-risk products, cross-border activity, and complex financial structures.
• Investigate, document, and escalate potential suspicious activity, preparing Suspicious Activity Reports (SARs) as required.
• Provide AML training and awareness specific to the HNW/UHNW client segment for relationship managers and support staff.
• Liaise with regulators, auditors, and law enforcement on AML-related inquiries and examinations.
• Stay current on emerging risks in wealth management, sanctions, PEP exposure, and financial crime typologies.
• Develops models, metrics, and controls that the company utilizes to identify potential hazardous transactions.
• Serves as a subject matter expert (SME) on AML policy and procedures to the business; providing guidance to front office, compliance, and operations teams.

Senior Associate, AML Compliance

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