Financial Crime

• Works both independently and within teams to conduct complex data analysis and identify, assess and mitigate financial crimes risk
• Executes policies and procedures to meet the bank's compliance with laws, regulations, and industry standards
• Assumes leadership responsibilities within a group or team
• Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined
• Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience
• While operating within the Banks risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types
• Assumes team leadership roles and responsibilities as required by management
• Possesses strong working knowledge of financial crimes trends and typologies
• Meets regulatory and business deadlines
• Makes appropriate risk decisions related to financial crimes risk
• Writes accurate and complete reports that are supported by facts
• Considered a subject matter expert in the specific field for which they have a responsibility and the related Bancorp policies and procedures
• Performs required tasks with minimal supervision
• May lead team meetings or conduct one-on-ones with peers or direct reports
• Understands the impact of organizational changes and assists with communicating those changes
• Maintains knowledge of current and emerging issues and risks in the compliance and regulatory environment
• Contributes to financial crimes policies, procedures, and risk assessments as required
• Identifies areas of process improvement to increase departmental efficiencies
• Manages projects designed to improve the quality or efficiency of work produced
• Maintains strong working relationships with all business lines and support groups
• Prepares and manages communications with business lines, support groups, and external parties to ensure timely receipt of the requested information
• Conducts complex data analysis and document findings appropriately
• Leads special projects as assigned
• Provides data and analytical support to business partners

Senior Financial Crimes Analyst

• Serve as a subject matter expert responsible for conducting detailed reviews and dispositioning complex alerts
• Participates in the analysis, update, and implementation of financial crimes policies and procedures
• Analyzes data to identify financial crimes risks and develop recommendations
• Works with senior leadership to set strategic direction for the department
• Monitors financial crimes-related regulatory and industry developments and provides input

Financial Crimes Officer II

• Performing transaction activity reviews, investigations and customer due diligence reviews on customers that have been alerted for potentially suspicious activity, potential sanctions list matches or that have been identified as posing elevated risk for money laundering and terrorist financing.
• Ensuring that reviews and investigations are maintained at a level commensurate with regulatory expectations.
• Assisting in Suspicious Activity Reporting (SAR), and/or enhanced due diligence (EDD) reviews on customers identified as posing a higher inherent risk and/or sanctions screening.
• Reviewing and investigating alerts, performing investigations, or enhanced due diligence reviews for potentially suspicious activity, making risk-based SAR recommendations and preparing SARs.
• Conducting periodic holistic reviews of higher risk individuals or entities.
• Reviewing and investigating potential matches with sanctions lists.
• Maintaining a solid working knowledge (functional and operational) of the rules and regulations, including but not limited to, BSA, USA PATRIOT Act, OFAC and Sanctions Screening.
• Assisting in the delivery of financial crime consulting services to Financial Services companies, including Banks, Money Service Businesses (MSB’s), Third Party Payment Providers, and FinTechs.
• Handling other duties as assigned by employer.

Financial Crime Review Analyst

• Responsible for helping develop and deliver Oncology Training for commercial field representatives.
• Work closely with training peers as well as our global trainers to jointly develop training related to disease, product, sales effectiveness, market knowledge, and operations training for Commercial organization members.
• Maintaining subject matter expertise for disease states, products and therapeutic areas.
• Developing and executing training programs and initiatives with minimal guidance.
• Designing and enhancing current curriculum to meet needs of the Commercial organization.
• Coordinating with Marketing, Legal, Compliance, Medical and Regulatory to ensure accuracy of medical content and compliance for training materials.
• Managing vendors when developing training content and executing contract requirements.
• Performing project management function during development of training content.
• Leading training meetings to include planning, logistics management, vendor monitoring, and participant conduct.
• Partnering with Marketing, Precision Medicine, and Commercial Leadership to develop training that meets brand objectives and coordinate training materials rollout for field colleagues.
• Influencing and leading without authority by collaborating with cross functional teams to provide effective, timely, innovative and relevant training solutions.
• Collaborating with external partners to help provide best-in-class training deliverables.
• Collaborating with partner company colleagues to ensure alignment of training strategy and tactics.
• Builds trust and credibility with Business Partners through regular interaction and feedback.

Senior Training Manager, Oncology – Franchise V, AML

• Conduct complex data analysis and document findings
• Evaluate system activity and generated alerts in accordance with compliance expectations
• Make appropriate risk decisions related to financial crimes risk
• Escalate matters associated with Financial Crimes activity
• Work with various business units to understand Financial Crimes alerted activity
• Complete assigned work in a timely and accurate manner
• Maintain knowledge of current and emerging risks in compliance and regulatory environment
• Identify areas of process improvement to increase departmental efficiencies

Financial Crimes Analyst II

• Supervise various AML processes including suspicious activity investigations
• Manage the workflow of the AML analysis
• Coach team and provide training on AML processes
• Perform quality assurance on draft Suspicious Activity Reports, sanctions reviews, etc.
• Handle escalated issues for advanced investigation and analysis

Anti-Money Laundering (AML) Supervisor – Law Enforcement Team

• Lead and oversee day‑to‑day KYC operations within the KYC CoE, ensuring timely and accurate completion of CDD and EDD
• Ensure operational execution aligns with AML/KYC policies, procedures, regulatory requirements, and enterprise standards
• Manage workflow allocation, capacity planning, and prioritization to meet service level agreements (SLAs) and regulatory timelines
• Act as a point of escalation for complex KYC cases, operational issues, and delivery risks
• Embed strong 1LOD controls across KYC operational processes to ensure consistent, high‑quality outputs
• Identify, assess, and manage operational AML/KYC risks, ensuring issues are logged, tracked, and remediated in line with Northern Trust’s risk appetite
• Own and deliver remediation actions arising from quality assurance reviews, audits, regulatory exams, and 2LOD challenges
• Drive root cause analysis for recurring issues and implement sustainable process improvements
• Partner closely with the KYC CoE Governance, Quality Assurance, Training, and 2LOD teams to ensure alignment
• Provide operational updates, MI, and insights to senior management, highlighting risks, capacity constraints, and emerging themes
• Participate in relevant AML/KYC forums and working groups, representing KYC Operations and ensuring clear communication of operational risks and dependencies
• Support the implementation of process enhancements, technology changes, and strategic initiatives impacting KYC Operations (e.g. tooling, workflow optimisation, regulatory change)
• Promote standardisation and best practices across the KYC CoE to drive efficiency and consistency
• Champion a culture of continuous improvement, accountability, and operational excellence
• Recruit, develop, and lead a team of KYC Operations professionals
• Set clear performance expectations, provide coaching, and support capability development
• Foster a collaborative, inclusive, and high‑performance culture aligned to Northern Trust values

AML/CIP KYC Manager

• Reviews client files for conformance with applicable AML policies, procedures and regulatory requirements for new WM account openings
• Provides support and functional knowledge as it relates to compliance with applicable AML laws, rules and standards
• Identifies and escalates to Global AML management any regulatory compliance risks associated with the file reviews completed
• Carries out business-related activities required to support Global AML Compliance guidelines
• Provides support as requested by Global AML Management to resolve compliance issues
• Uses existing procedures to solve standard problems
• Conducts and adequately documents testing to assess compliance with and adherence to regulations and policies/procedures
• Applies analytical skills to review information and determine potential control weaknesses or exceptions to policies/processes
• Summarizes and communicates testing results in clear, concise language

Senior AML CIP/KYC Associate

• Reviews client files for conformance with applicable AML policies, procedures and regulatory requirements for new WM account openings and works with front office teams to facilitate queries.
• Provides support and functional knowledge as it relates to compliance with applicable AML laws, rules and standards
• Identifies and escalates to Global AML management any regulatory compliance risks associated with the file reviews completed
• Carries out business-related activities that may be required to support Global AML Compliance guidelines
• Provides support as requested by Global AML Management as necessary to resolve compliance issues, including actions in response to Regulatory exam and Audit findings
• Uses existing procedures to solve standard problems; analyzes information and standard practices to make judgments

AML CIP/KYC Associate

• Develop, audit, and monitor compliance of BSA/ AML requirements for financial institutions of all sizes
• Execute across all phases of an audit, including planning, conducting process walkthroughs, developing/executing test procedures, tracking artifacts and reporting on deliverables
• Submit written or oral reports of audit results to senior management and audit committees including findings, analysis, conclusions and recommended actions
• Build and manage relationships with Business Lines across all three lines of defense

Senior Consultant – AML Financial Crime Audit & Testing

• Managing multiple teams and workstreams and providing performance feedback to all members of those teams
• Developing relationships with a variety of clients
• Anticipating and addressing client concerns and resolving problems as they arise
• Promoting new ideas and business solutions that result in extended services to existing clients
• Serving as a career coach and mentor for new staff

Financial Crime Audit & Testing Manager

• Oversee the Second Line of Defense for sanctions risk in the US
• Serve as a subject matter expert on OFAC regulations and US sanctions frameworks
• Lead sanctions screening operations and ensure regulatory compliance
• Promote a strong risk culture throughout the organization
• Collaborate closely with global sanctions partners and engage stakeholders
• Develop and deliver targeted training sessions to enhance sanctions risk expertise

Director – Sanctions Compliance

• Performing end-to-end investigations of external financial crimes activities across one or more lines of business
• Conducting routine to complex investigations, including money laundering, or terrorist financing
• Acting as the liaison to Law Enforcement
• Providing coaching and inputs to investigators to improve case quality
• Ensuring all cases are sufficiently investigated and findings are adequately documented

GFC Investigator – Commercial, AML

• Investigates, monitors and reports on cases involving potential threats to the Bank to ensure compliance with regulatory requirements.
• Responsible for filing applicable reports and escalating financial crime related matters when appropriate.
• Reviews and Analyzes system activity and generated alerts in accordance with Financial Crimes Compliance expectations.
• Ability to analyze Financial Crimes and Fraud related triggers related to risk activity.
• Appropriately escalates matters associated with Financial Crimes activity that warrants engagement from supervisory staff.
• Prepares Reports and recommends appropriate follow-up.
• Provides Financial Crimes related Support and Works with the first line of defense for the bank.
• May provide customer support to internal and external customers.
• Works with various business units to understand the Financial Crimes and Fraud alerted activity and to ensure compliance with laws.
• Possesses working knowledge of industry trends.
• Ability to complete assigned work in a timely and accurate manner.
• Ability to communicate effectively verbally and in writing with internal and external customers on Financial Crimes or Fraud related matters.

Financial Crimes Specialist

• Lead the AML Audit team within CIBC's US Internal Audit Department
• Develop and execute a risk-based audit plan
• Build strong relationships with AML and first line business partners
• Ensure audit activities are conducted to high standards
• Mentor and develop audit professionals

Audit Director, Anti-Money Laundering (AML)

• Join a team of Financial Intelligence Unit (FIU) analysts focusing on AML Transaction Monitoring models.
• Partner closely with model owners, Model Risk Management, auditors, and senior leadership to evaluate model behavior and identify emerging risks.
• Perform ongoing monitoring and performance assessments of AML Transaction Monitoring models.
• Conduct comprehensive code reviews and code change assessments for alignment with documented intent, coding standards, and regulatory requirements.
• Execute and document periodic testing, validation support, and performance reviews in alignment with regulatory expectations.
• Provide clear, constructive feedback to model and code owners, supporting effective issue resolution and continuous improvement.
• Prepare and present materials for audiences including senior leadership, Model Risk Management, Corporate Audit, and regulatory partners.

Quantitative Model Analyst 3 – AML

• Completes investigations while overseeing cases meet or exceed closure and quality metrics
• Completes Suspicious Activity Reports (SAR) in a timely manner
• Reports facts of the investigation to senior stakeholders
• Performs quality control functions and investigative support roles

GFC Investigator – Brokerage, AML

• Support various AML processes including suspicious activity investigations
• Review system generated alerts and conduct research as required
• Write suspicious activity reports and make closing recommendations
• Manage a queue of alerts, cases, and investigations
• Conduct presentations to Senior Leadership
• Help maintain operations of a SIU Specialty Desk

Senior AML Investigator – Special Investigations Unit

• 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
• Assists in monitoring changes in regulations and advising business leaders
• Contributes to risk coverage plans, executes independent risk monitoring, testing, and risk assessments
• Assists in the identification, aggregation, reporting, and escalation of remediation and thematic analysis

Global Financial Crimes Investigations Specialist

• Design and maintain a multi-year AML Strategic Roadmap that aligns with Capital One’s innovative approach to new products and services
• Lead the delivery of the enterprise-wide money laundering and sanctions risk assessments, targeted risk assessments, and periodic control effectiveness reviews
• Develop and integrate dynamic risk assessment processes into AML reviews and decision making
• Monitor relevant financial crime regulatory requirements and typologies, and advise investigations, analytics, product, and technology teams on the deployment of controls to mitigate AML risks
• Lead second-line compliance control reviews, providing assurance that Capital One’s AML controls are designed and operating effectively to mitigate financial crime risk and are in compliance with Enterprise Risk Management (ERM) standards
• Serve as a key liaison during regulatory examinations, audits, and other programmatic reviews
• Build strong partnerships and collaborate with business, technology, and other stakeholders to reach optimal business and risk management outcomes in a dynamic and fast-moving environment
• Maintain and update AML’s guidance for first-line assessments and product, service, industry, and transaction risk ratings

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