Financial Crime

• Reviewing alerts generated from the sanctions screening of transactions
• Conducting Level 1 (L1 - initial review) of sanctions screening for real-time and post transactional review of hits
• Conducting manual sanctions screening and providing timely response to various requests
• Performing control reconciliation functions of daily reviews to ensure all hits are addressed/escalated timely
• Staying abreast of regulatory changes and AML-related news

AML Compliance, Screening Specialist

• 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

• Design and implement new applications/maintain existing applications/ Support RTB functions
• Proposes & designs software solutions to address complex business needs
• Writes code, tests and deploys software
• Prepares technical and procedural documentation required for software
• Maintains and debugs software

Senior Software Engineer – AML Tech

• Creates and leads the technical design and development of software solutions
• Proposes & designs software solutions to address complex business needs
• Prepares technical and procedural documentation required
• Facilitates complex problem resolution
• Provides technical guidance and support to colleagues
• Reviews coding, testing, and documentation of software
• Applies modern principles, methodologies and tools to advance business initiatives and capabilities

Lead Software Engineer - AML Tech

• 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

• Develops plans and assists in the overall implementation of enterprise wide and business unit Anti-Money Laundering (AML) and Sanctions Programs to prevent illegal, unethical, or improper business practices
• Assists in the execution and oversight of activities to comply with the Bank Secrecy Act, AML, USA PATRIOT ACT and Sanctions Program requirements
• Developing ability to constructively challenge conclusions/status quo
• Update AML and Sanctions policies and procedures as needed
• Ensure that Compliance Manuals, Front Office Manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent
• Independently challenges analyses, reviews and recommendations
• Identify and define the AML and Sanctions objectives for assigned line(s) of business, products/services and applicable regulations
• Communicate and socialize those objectives (from a leadership position) to the business
• Coordinate AML and Sanctions compliance monitoring and oversee preparation of compliance reports
• May serve as a resource regarding AML and Sanctions compliance impact on overall business activities, product development and customer activities
• Prepares and edits AML and Sanctions compliance reports and/or customer risk profiles
• Identifies issues, recommends corrective action plans and escalates through proper governance channels as needed
• Analyzes assessments of AML and Sanctions risk and internal controls
• Researches AML and Sanctions regulatory developments
• Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new AML and Sanctions regulatory requirements
• Supports key business initiatives by identifying AML and Sanctions Compliance risks and providing resolutions to manage these risks
• Serves as a resource regarding AML and Sanctions compliance impact on such matters on overall business activities, product development and customer activities

Senior AML Sanctions Specialist – AML Data Operations, Analytics

• Lead or participate in highly complex initiatives and investigations.
• Investigate, research, examine, and report complex financial crimes transactions, policy violations and suspicious situations with high levels of risk.
• Develop, foster and conduct regular outreach to Law Enforcement to better understand the underlining predicate for Consortium investigations.
• Lead multiple WF and Consortium member bank members to conduct highly complex driven projects.
• Conduct internal WF Consortium and 314(a) predicated investigations.
• File complex SARs with FinCEN on behalf of WF.
• Draft and compile a robust, comprehensive investigative Consortium Report (Joint Analysis) synthesizing your investigative findings, trends discovered and risk concerns for WF.
• Present investigative findings to executive members within WF: to include the BSA Officer, AMLFI Executives, SAR Review Working Group members, Business Advisory Leaders and other internal stakeholders.
• Perform investigative research, root cause assessment and consulting regarding highly complex financial crimes transactions, policy violations and suspicious situations with moderate to high risk.
• Perform detailed examination of data to detect transactional and relationship patterns, trends, anomalies, schemes and risks across multiple businesses or products.
• Partner closely with leadership to develop strategies to minimize financial crime portfolio risk.
• Provide leadership within the team.
• Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals.
• Provide executive and business advisory leaders briefings on investigative findings and trends impacting WF.

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