Financial Crime

• Lead the periodic review process by drafting relationship memos, facilitating compliance calls, analyzing transaction activities, and researching and escalating higher risk issues for correspondent bank customers in Latin America and the United States.
• Evaluate the strength of our client’s AML/CFT and sanctions compliance programs
• Proactively identify risk issues and work with relationship managers and senior risk officers to develop, document, and implement action plans
• Stay attuned to industry and regional trends related to compliance issues, financial crimes, and regulatory actions
• Ensure complete, accurate, and timely documentation of customer data within the customer risk management system
• Support the bank’s efforts to combat cyber-crime and related typologies
• Support the focus of building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of FIG’s customers and Wells Fargo

Senior Financial Crimes Specialist, Correspondent Banking – Bilingual Spanish

• Responsible for owning, governing, and continuously enhancing the Bank's AML/CFT and Financial Crimes Compliance training program
• Establishes and maintains a risk-based training framework aligned to regulatory expectations, enterprise risk assessments, and the Bank's control environment
• Ensures training operates as a key component of the organization's FCC compliance risk management program
• Accountable for training program effectiveness, regulatory alignment, and audit and regulatory examination readiness
• Partners with senior stakeholders across Compliance, Risk, People & Culture, and business lines

Financial Crimes Compliance Training Director

• lead the review of current processes and metrics that support operational effectiveness
• identify constraints or opportunities that inhibit, or can accelerate, the business and technology strategy
• develop options or approaches to improve business outcomes
• lead work to develop and review artifacts
• identify alternative processes and practice options with associated impact on KRIs/KPIs or Operational Metrics
• facilitate discussions with IT, Product, and Business subject matter experts to better understand the problem statement and/or opportunity
• validate the right problem or opportunity is being assessed
• identify, socialize, and obtain approval for KRIs, KPIs, and Operational Metrics
• support critical Financial Crime Compliance (FCC) initiatives
• drive the delivery of innovative AML and Fraud solutions
• perform cross-functional impact analysis and proactively manage risks and dependencies
• advance data profiling, data quality, and data mapping practices aligned to enterprise data strategy
• lead large complex projects ensuring business outcomes are achieved
• develop list of critical documentation and artifacts to meet project objectives
• complete the development of high-quality deliverables through effectively communicating learnings, findings, impacts, and next steps with subject matter experts

Staff IT Analyst III – AML and Fraud

• Performing end-to-end investigations or investigations support functions of external financial crimes activities across one or more lines of business
• Conducting routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing
• Acting as the liaison to Law Enforcement as required
• Providing coaching and inputs to investigators to improve case quality
• Ensuring all cases are sufficiently investigated and findings are adequately documented
• Reviewing and analyzing investigations, making recommendations for enhancements

GFC Investigator – Commercial, AML/Fraud

• Investigate alerts and cases generated from transaction monitoring systems related to merchant acquiring activity
• Analyze merchant-level transaction data to identify anomalies and red flags
• Identify and investigate merchant acquiring-specific typologies
• Prepare and file SARs and CTRs accurately and timely
• Review and investigate partner referrals and escalations
• Document investigative findings clearly and accurately within case management systems
• Meet defined SLAs, productivity expectations, and quality standards
• Escalate high-risk or complex matters to the Manager
• Maintain current knowledge of BSA/AML and OFAC regulations
• Collaborate with BSA/AML peers, Fraud Operations, and partner oversight teams

Analyst, BSA/AML Operations

• Conduct detailed periodic reviews in Circle’s KYC Team
• Review higher risk client relationships for due diligence
• Ensure customer's nature of business aligns with their profiles
• Collaborate with Customer Service team and Relationship Managers
• Monitor industry trends related to money laundering or fraud schemes

Senior Analyst, AML Know Your Customer

• Lead day-to-day global sanctions compliance controls monitoring
• May oversee and guide junior team members in executing these responsibilities
• Partner with senior stakeholders to enhance the sanctions and ABAC due diligence framework
• Analyze due diligence reports and escalated cases
• Collaborate with management to address sensitive or high-impact matters
• Prepare internal and external reports related to sanctions compliance
• Develop and deliver sanctions and ABAC-related training sessions
• Maintain deep knowledge of global sanctions regulations
• Serve as a consultant on compliance-related issues
• Partner across Vanguard business units to ensure consistent application of sanctions controls
• Participate in special projects and other duties as assigned

Financial Crimes Compliance Analyst, Specialist

• Review and investigate alerts generated from transaction monitoring systems using a risk-based approach to identify potentially suspicious activity or unusual behavior.
• Analyze transactional activity, payment flows, customer behavior, and account activity to identify anomalies, red flags, pass-through activity, layering concerns, or unusual patterns.
• Conduct customer due diligence reviews utilizing internal systems, KYC/CIP information, transactional analysis, and external research tools.
• Document investigative findings clearly, accurately, and professionally within case management systems in accordance with BSA/AML documentation standards.
• Prepare detailed alert narratives that clearly explain the activity reviewed, investigative steps performed, findings identified, and rationale for disposition decisions.
• Escalate higher-risk, complex, or potentially suspicious activity to the Case Investigation Team for enhanced review and potential SAR determination.
• Maintain investigative documentation and supporting evidence, including screenshots, research findings, and transaction analysis, sufficient to support quality assurance, audit, and regulatory review.
• Review transactional history to identify expected versus unusual customer behavior patterns and determine whether activity aligns with product usage expectations.
• Support FinCEN 314(a) and 314(b) information sharing requests and assist with law enforcement inquiries and legal process responses under the direction of senior staff.
• Collaborate with Case Analysts, Quality Assurance, Compliance, Fraud, and internal stakeholders to support ongoing investigations and operational objectives.
• Meet established service level agreements (SLAs), productivity standards, and quality expectations for assigned alert queues.
• Maintain current knowledge of BSA/AML regulations, OFAC requirements, FinCEN guidance, financial crime typologies, and internal procedures.
• Support ongoing process improvements, procedural updates, training initiatives, and quality enhancement efforts within the Operations Team.

BSA/AML – Alert Analyst II

• Completes investigations while overseeing cases meet or exceed closure and quality metrics
• Completes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement
• Reports facts of the investigation to senior stakeholders, assisting in identifying potential operational or compliance risks and partners Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
• Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role
• Analyze financial transactions to assess whether activity is suspicious and warrants further investigation.
• Manage the full lifecycle of fraud investigations, from initial review through documentation and resolution.
• Gather and evaluate relevant information to support sound decision-making throughout the investigative process.

Global Financial Crimes Investigator

• supporting the execution of substantive money laundering, economic sanctions and fraud compliance and operational risk practices
• assisting Global Financial Crimes executives and managers with activities that support the identification, escalation and timely mitigation of compliance and operational risks
• Supports the development and maintenance of financial crimes owned policies and standards
• Assists in the production of independent financial crimes risk management reporting

Global Financial Crimes Specialist

• Executes independent model validation control activities for lower risk, in-house and vendor, models
• Conducts validation activities for low-risk, in-house models, and assists, under supervision and in collaboration with peers, on higher risk, complex and vendor models
• Conducts back-testing, diagnostic testing, sensitivity analysis, benchmarking, and other validation tests/analyses on lower risk models; collaborates with senior-level validators for higher risk models
• Executes and assists in replicating model development and may help develop challenger models through principles of predictive modeling, machine learning, time-series modeling/forecasting, stress testing, heuristic models, actuarial models, and/or other techniques
• Reviews at a working experience level the end-to-end life-cycle management of model development, implementation, ongoing monitoring, and use in areas of Banking and Insurance (Property & Casualty and Life) along with their corresponding business support functions and operational processes
• Assesses the materiality of model changes and conducts model change validations
• Produces and delivers validation reports and related validation work to model validation management and model stakeholders
• Executes the independent model validation process compliant with the written risk and compliance policies and procedures at a working experience level
• Evaluates model risk control strengths around model development, implementation, and use

Model Validator – Mid-Level, Fraud/AML

• Performs quality control reviews of KYC files
• Ensures compliance with BSA/AML policy
• Documents each review by completing a QC Checklist
• Communicates concerns with the Onboarding unit and the Team Lead
• Maintains effective working relationships with key business partners
• Stays abreast of developments concerning BSA/AML/Sanctions

KYC Quality Control Analyst

• Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework.
• Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identifies gaps and informs solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identifies, responds and/or escalates risks as appropriate.
• Serves as a functional liaison between the Line of Business and the Lines of Defense.

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