Financial Crime

• Conducts investigations of financial crime
• Analyzes evidence relating to AML and terrorist financing
• Prepares suspicious activity reports (SARs)
• Collaborates with law enforcement and regulatory bodies

Senior Financial Crime Risk Investigator – Subpoena, Specialized Investigations

• Conducts holistic reviews of client relationships; assesses risks related to Sanctions, Anti-Bribery and Anti-Corruption
• Analyzes complex data sets to proactively identify leads; prepares suspicious activity reports (SARs)
• Recommends demarketing clients, as appropriate; creates supporting documentation in compliance with policies, procedures, and regulatory requirements
• Integrates the broader organizational context into advice and solutions within own area

Senior Financial Crime Risk Investigator – Subpoenas

• Identify emerging financial crime risks for new client relationships and products
• Advise and assist in the development of policies and procedures specific to the bank's digital assets strategy
• Conduct risk assessments for new products and services
• Provide data points for transaction monitoring, screening, and audits
• Participate in project steering committees and update senior leadership on the digital asset ecosystem

Financial Crime Risk Business Oversight Specialist

• Provides a range of research, guidance, and business oversight to assigned portfolio
• Contribute to the development and implementation of AML Compliance programs
• Responsible for defect triaging and testing of transaction monitoring software defects
• Liaison between the Financial Crime Risk Investigations team and technology teams
• Provides skilled AML research, risk assessment, reporting, and analytical support

Financial Crime Risk Business Oversight Analyst II

• 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

• 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

• 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 with 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

GFC Investigator – Brokerage, AML

• Conduct end-to-end investigations of various higher complexity and sensitivity
• Apply reasonable grounds to suspect money laundering/terrorist financing
• Mitigate and disrupt financial crime through appropriate recommendations
• Works independently as the senior technical lead and guides others within expertise

Senior Financial Crime Risk Investigator

• Manages team responsible for execution of Decision Testing Quality Control on AML Investigations process
• Responsible for identifying thematic trends across Decision Testing Quality Control
• Advises and directs the development and maintenance of financial crimes owned policies and standards
• Produces and/or oversees independent financial crimes risk management reporting
• Monitors the changes in regulations applicable to Global Financial Crimes
• Participates in industry forums and monitors regulatory expectations
• Escalates financial crimes related compliance and operational risks
• Identifies, aggregates, reports, escalates, inspects, and challenges the remediation and thematic analysis of FLU/CF-owned issues

Global Financial Crimes Manager

• Leads, develops, and oversees a dynamic team in Financial Crime Risk Management (FCRM)
• Provides oversight, governance, and support on FCRM frameworks and policies
• Coordinates with internal/external stakeholders during audits and examinations
• Develops FCRM enterprise-wide frameworks, policies, and standards

Senior Manager, Financial Crime Risk Management

• Perform advanced, complicated, or high visibility job functions aligned with policies and standards
• Ensure work products are fit for purpose and audit/regulator ready
• Suggest process improvements for efficiency, accuracy, or quality
• Independently perform activities from end to end
• Manage ambiguity and apply judgement to resolve ongoing business and operational issues
• Interpret and administer policies and implement business process improvements

KYC Analyst III

• Conducts investigations of moderate complexity for both internal and external cases
• Recommends for demarket and/or freezing accounts by the appropriate investigative unit
• Conducts adjudications of moderate complexity
• Applies reasonable grounds to suspect money laundering and terrorist financing
• The Centralized Investigation Team (CIT) is responsible for investigating referrals regarding potentially fraudulent activity

Financial Crime Risk Investigator II – Centralized Investigations

• Provides a range of research, guidance, and business oversight to ensure strong AML/ATF/Sanctions/ABAC controls
• Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs
• Provides advanced analysis and/or specialized reporting
• Integrates broader organizational context into advice and solutions
• Recommends and implements solutions within own area of responsibility

Senior Financial Crime Risk Business Oversight Analyst

• Develops and maintains sanctions compliance programs
• Conducts periodic and event-driven reviews for sanctions risk of customers and transactions
• Supports management in delivering initiatives related to sanctions risk assessment
• Acts as a technical expert and lead, integrating cross-functional understanding within sanctions screening
• Communicates complex sanctions concepts and influences stakeholders

Financial Crime Risk Specialist – Sanctions

• Develop and implement AML policies
• Oversee investigations into potential money laundering, terrorist financing, fraud, and other financial crimes
• Ensure compliance with regulatory requirements
• Manage a team of Group Managers leading teams of AML investigators
• Provide guidance and support to ensure high-quality investigations
• Prepare and present detailed reports on investigative findings to executive management
• Collaborate with internal and external stakeholders, including law enforcement and regulatory bodies
• Provide training and guidance on AML regulations, trends and typologies, and best practices

Senior Manager, Financial Crime Risk Investigations

• Conducts investigations of moderate complexity for both internal and external cases
• Recommends for demarket and/or freezing accounts by the appropriate investigative unit
• Conducts adjudications of moderate complexity
• May provide QA/review and mentorship of a team
• Applies reasonable grounds to suspect money laundering and terrorist financing
• Conducts data analysis, manipulation and interpretation looking for patterns and anomalies
• Initiates investigations and/or responds to emerging AML and Sanctions/ABAC risks
• Assists and coordinates investigations with various law enforcement agencies as delegated
• Prepares and delivers AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assigned

Financial Crime Risk Investigator II – OneTouch

• Drafting regulatory & compliance internal documentation and control procedures, including work-flow and process maps, organizational charts, and internal departmental control procedures with precise formatting for consistency and clarity.
• Leveraging and creating built-in templates and styles to ensure adherence to organizational branding and standards.
• Efficiently organizing and categorizing emails for compliance tracking and internal auditing purposes using folders, categories, and rules.
• Developing and maintaining spreadsheets for tracking operational deadlines, tasks and remediation statuses.
• Support end-to-end onboarding and remediation projects.
• Support the development of contact lists, Service Level Agreements and other onboarding materials for each engagement/project.
• Think outside the box! Help identify workarounds to achieve the client’s goals, and coordinate conversations with internal business partners on client processes and expectations.
• Internal responsibilities (filing, status reports, time tracking, etc.)

AML/KYC Intern

• work closely with data scientists, fraud strategists, and business stakeholders
• support real-time fraud detection and prevention strategies
• apply analytical techniques to large-scale datasets
• utilize vendor tools to detect and mitigate scam events
• work with the broader Detection and Analytics group to define processes and optimize overall detection strategy

Analyst, Fraud Detection and Analytics

• Advises and directs the development and maintenance of financial crimes owned policies and standards, and reviews relevant Front Line Units/Control Functions-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed.
• Produces and/or oversees independent financial crimes risk management reporting to Global Compliance & Operational Risk (GC&OR) Senior Leaders and FLU/CF Senior Leaders.
• Monitors the changes in regulations applicable to Global Financial Crimes, including advising business leaders, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed.
• Participates in industry forums and monitors regulatory expectations, emerging legislation and regulation, political scrutiny, litigation and key influencers to identify and mitigate emerging risks.
• Escalates financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees.
• Identifies, aggregates, reports, escalates, inspects, and challenges the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes.
• Reviews and challenges internal and external operational loss events, including the development of remediation plans to strengthen controls and providing oversight to ensure they are addressed appropriately.
• Identify, assess, and monitor emerging risks within financial crimes investigations.
• Conduct end-to-end process analysis to uncover inefficiencies and recommend improvements that enhance investigative outcomes.
• Lead initiatives to reduce non-value-added processes and create robust, high-value investigation outcomes.
• Develop and implement risk-based internal controls to prevent, detect, and report financial crimes.
• Evaluate the effectiveness of internal controls and identify gaps or weaknesses.
• Provide subject matter expertise to support the development of regulatory changes.
• Monitor regulatory changes and advise business leaders on implications; ensure timely updates to policies, standards, and procedures.
• Escalate financial crimes-related compliance and operational risks to appropriate governance bodies.
• Oversee remediation of financial crimes-related compliance and operational risk issues.
• Design and monitor key risk and control performance metrics; report on performance and breach remediation.
• Analyze investigation performance data and trends to provide actionable feedback and foster an inclusive team environment.

• Provides a range of analytical, research and assessment support to the development of and enhancements to the enterprises FCRM programs and processes
• Interacts with key stakeholders and third-party service providers to deliver AML/ATF/Sanctions/ABAC programs that satisfy regulatory requirements
• Assists in reviewing higher risk customer or transactional information
• Engages with the 1st line of defense on the outcomes of EDD reviews

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Senior Financial Crime Risk Investigator – Subpoena, Specialized Investigations

Senior Financial Crime Risk Investigator – Subpoenas

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Senior Financial Crime Risk Investigator

Global Financial Crimes Manager

Senior Manager, Financial Crime Risk Management

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Financial Crime Risk Investigator II – Centralized Investigations

Senior Financial Crime Risk Business Oversight Analyst

Financial Crime Risk Specialist – Sanctions

Senior Manager, Financial Crime Risk Investigations

Financial Crime Risk Investigator II – OneTouch

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