Senior Oversight Specialist

Ultimus Fund Solutions

Senior Oversight Specialist responsible for AML compliance and fraud detection. Monitoring, analyzing, and reporting on AML data, ensuring organizational adherence to laws and regulations.

Posted 7/30/2026full-timeRemote • Colorado, New York, Ohio • 🇺🇸 United StatesSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Anti-Money Laundering (AML) compliance, fraud detection, and regulatory requirements, with a strong focus on Know Your Customer (KYC) processes and effective communication skills to guide associates and promote fraud awareness.

Highest-signal resume keywords

AML ComplianceFraud DetectionKYC ProcessesBSA RegulationsMicrosoft Excel

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

AML ComplianceFraud DetectionKYC ProcessesBSA RegulationsCustomer Identification Program (CIP)Office of Foreign Asset Control (OFAC)Effective Internet Search Techniques

Soft Skills

GuidanceCommunicationAttention to Detail

Tools & Technologies

Microsoft Office SuiteAdobe AcrobatKnowledge Management System (KMS)

Industry Keywords

Financial ServicesFraud PreventionPolitically Exposed Person (PEP)Lexis NexisSOC1 Audits

About the role

Key responsibilities & impact

Detects, investigates, and prevents fraudulent activities within the organization.
Performs identity verification review on new account shareholders, authorized signers, and beneficial owners, to satisfy Know your Customer ‘KYC’ and ‘AML Policy’ requirements.
Conducts comprehensive reviews on all politically exposed person (PEP) and OFAC/various watchlist alerts.
Requests supplementary documentary evidence from those persons who do not immediately pass KYC verification and updates account accordingly.
Reviews various reports to evaluate and monitor transactional activity to identify potential suspicious activity.
Performs manual “real time” KYC identity verification for requests submitted by related departments.
Reviews account activity and provides timely responses to Red Flag submissions; records suspicious activity, including shareholder personal information, in various internal watchlists.
Adheres to designated timelines and procedures to ensure timely and accurate completion of tasks.
Attends training and provides guidance to associates on fraud detection and prevention techniques. Raises awareness of fraud risks and promotes a culture of vigilance.
Assists with identification, organization, and dissemination of archived materials to support completion of SOC1 and annual AML audits.
Assists with client conversion data reviews and department clean-up projects, as needed.
Assists with production and quality control review of quarterly client AML certifications.
Conducts a bi-weekly FinCEN processing and quality control review; reports any “positive hits” to AML Manager and AMLCO; provides certifications to clients.
Conducts a quarterly OFAC processing and quality control review; reports any “positive hits” to AML Manager and AMLCO.
Processes monthly Lexis Nexis invoices to Accounts Payable in a timely manner.
Creates extensive written team procedures and maintains in Knowledge Management System (KMS) database.
Assists with Lexis Nexis administration role to maintain user access status, establish new users, etc.

Requirements

What you’ll need

Bachelor’s degree in finance, law, business administration, or a related field.
3-5 years of experience in AML compliance and fraud detection, preferably within the financial services industry.
Bank Secrecy Act (BSA), Anti-Money Laundering (AML)/Terrorist Financing, Customer Identification Program (CIP), Know Your Customer (KYC), Office of Foreign Asset Control (OFAC) regulatory and program requirements.
Effective internet search techniques.
Microsoft Office Suite, with demonstrated experience in Excel, including pivot tables, macros, filtering, and sorting.
Adobe Acrobat.

Benefits

Comp & perks

Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
Collaborates with the correspondence team to create and maintain written shareholder communication templates to be used with collection of supporting KYC documentation.
Contact as needed with clients, financial representatives, and shareholders regarding general information, resolution of issues, inquiries, or reporting requirements.
Contact with members of AML Oversight team and various other internal teams regarding follow-up inquiries, open workflow, etc.