Financial Crime

• 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

• Working together with other surveillance personnel is paramount in this role
• Build positive relationships with business partners in various Fidelity groups
• Analyze thousands of transactions daily to detect and stop suspicious activity
• Review 'high risk' customers based on Customer Due Diligence rules from FINCEN
• Conduct and coordinate ad-hoc vetting and research requests as needed

Senior Analyst, Financial Crimes Surveillance

• Serve as the primary point of contact for new client onboarding, ensuring timely and accurate completion of all onboarding deliverables within the demanding timelines of the syndicated loan market
• Provide end-to-end oversight of the onboarding process across multiple clients, in line with internal policies and regulatory standards
• Review and interpret client legal, financial, and entity documentation to support onboarding approvals
• Lead client-facing onboarding discussions, providing clear status updates and proactively managing risks or escalations before they impact deal timelines
• Identify process gaps or inefficiencies within onboarding workflows and collaborate with stakeholders to implement improvements, recognising that in this market, workflow friction has a direct cost
• Build strong working relationships with internal teams (Operations, Legal, Compliance, Technology) to ensure seamless onboarding execution
• Provide day-to-day oversight, guidance, and quality assurance for a Junior Analyst supporting onboarding activities
• Rapidly develop expertise in internal systems, tools, and client-specific onboarding requirements

Senior KYC/Onboarding Lead – Syndicated Loans

• Provide practical, risk-based regulatory advice on complex sanctions, export control, AML, and ABC matters to all S&P Global Divisions and Functions globally—including Energy, Market Intelligence, Indices, and Ratings.
• Design and translate complex financial crimes compliance standards into practical, scalable solutions that enable innovation while managing risk.
• Advise on higher-risk topics including restricted party and jurisdictional risk, customer/third-party risk, payment/use-case risk, data/content/service delivery risk, and cross-border operating considerations.
• Represent FCC in NPA forums and other commercialization/governance bodies across all S&P Global Divisions and Functions.
• Partner with Product, Technology, Legal, Risk, Privacy, Procurement, and Operations to ensure FCC requirements are embedded into design, including controls, workflows, documentation, and monitoring.
• Establish clear go/no-go criteria, escalation paths, and approval conditions for higher-risk initiatives; ensure decisions are documented and auditable.
• Support safe business execution while protecting the company from regulatory and reputational risk.
• Engage with Divisional Compliance and first line teams and corporate functions (e.g., Legal, Internal Audit, Technology, People, Finance, Procurement, Privacy, Security) to drive consistent FCC adoption and operationalization across all S&P Global Divisions and Functions.
• Lead cross-functional working groups as needed to resolve complex issues, remove blockers, and ensure consistent execution across regions.
• Partner across all Divisions and Functions to embed and continuously enhance financial crimes compliance within enterprise change initiatives (e.g., product enhancements, technology modernization, process re-engineering, operating model changes, vendor/third-party transformations, and geographic expansion readiness).
• Act as a strategic second-line advisor to help stakeholders design controls into workflows upfront (“build it in, not bolt it on”), aligning compliance requirements with business outcomes and operational practicality.
• Influence enterprise roadmaps by advocating for FCC needs in the planning cycle (e.g., intake, prioritization, design reviews, release governance), ensuring appropriate documentation, approvals, and sustainable ownership are in place.
• Proactively identify emerging risks, challenge and influence stakeholders, and ensure the program enables the business to meet strategic goals while operating within the company’s risk appetite.

Director, Global Financial Crimes Compliance Advisory

• 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

• 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

• 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

• Supporting the bank’s BSA/AML Program and ensuring compliance with all applicable BSA/AML and OFAC rules and regulations across all business areas
• Review automated transaction monitoring alerts and conduct investigations of suspicious activity
• Drafting high-quality Suspicious Activity Reports (SARs)
• Liaise with Business Lines, Client Onboarding, Operations, and Legal to support compliant onboarding practices
• Participate in compliance regulatory examinations and internal audits
• Contribute to transaction monitoring 'tuning' efforts and the development of new detection scenarios
• Contribute to the ongoing development, maintenance, and updating of AML team procedures

BSA/AML Compliance Associate

• Manage the assessment of financial risk of customers
• Ensure compliance with the Bank Secrecy Act, USA PATRIOT Act, and OFAC regulations
• Monitor, identify, report, and investigate suspicious activity
• Lead a team of analysts in compliance efforts

Financial Crimes Risk Manager

• Performing end-to-end investigations of external financial crimes
• Conducting routine to complex investigations, including fraud, money laundering, and terrorist financing
• Acting as liaison to Law Enforcement as required
• Providing coaching and inputs to investigators to improve case quality
• Reviewing Suspicious Activity Reports in a timely manner

Global Financial Crimes Senior Investigator

• Review submissions submitted throughout the global hubs by junior analysts
• Liaise with internal/external stakeholders to provide exception management reporting and Management Information System (MIS) reporting
• Perform quality reviews and reviews of procedures and processes
• Perform project management responsibilities, including producing project plans, conducting risk analyses and providing weekly updates for senior management, as needed
• Assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup

Senior Analyst – KYC Modernization, Financial Crimes Project

• Perform a key risk management role (second line of defense) to ensure compliance with applicable laws and regulations
• Drive and deliver quality results and provide compliance advice to lines of business as a subject matter expert
• Partner with executives and their teams to identify potential risks in a collaborative environment
• Develop and lead department training as appropriate
• Provide AML advice on complex projects
• Engage and influence business stakeholders to ensure AML requirements are appropriately addressed

Senior Manager, Anti-Money Laundering (AML), Global Payment Network Advisory

• 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

• Act as an Economic Sanctions Subject Matter Expert responsible for helping oversee and govern Wells Fargo’s OFAC sanctions program and providing accurate and thoughtful regulatory guidance to business units.
• Act as an advisor to leadership to develop or influence objectives, plans, specifications, resources, and long-term goals for highly complex business and technical needs across groups and functions.
• Implement and maintain an effective financial crimes program that complies with all applicable laws, regulations, and regulatory expectations.
• Evaluate long-term implications and consequences of strategic business decisions and recommend appropriate alternatives for risk management.
• Lead the strategy and resolution of highly complex and unique challenges requiring in-depth evaluation across multiple areas or the company.
• Deliver solutions that are long-term, large-scale and require vision, creativity, innovation, advanced analytical thinking, and coordination of highly complex activities and guidance to others.
• Lead implementation of complex initiatives with high risk, generally spanning multiple business lines.
• Provide vision, direction and full knowledge to leadership on implementing innovative and significant business solutions that are large scale companywide strategies.
• Serve as an excellent advisor to leadership.

Senior Lead Financial Crimes Officer – OFAC Sanctions

• Completes investigations while overseeing cases meet or exceed closure and quality metrics
• Completes Suspicious Activity Reports (SAR) in a timely and accurate manner
• Reports facts of the investigation to senior stakeholders
• Partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
• Performs quality control functions

GFC Investigator – Brokerage, AML

• Manage and deliver assessments and other services covering AML/CFT/Sanctions regulatory compliance for banks, broker dealers and other financial institutions
• Participate in the evaluation of the current state of the AML/CFT/Sanctions compliance program, identify any deficiencies to enhance controls
• Develop strong relationships with existing clients and prospective clients within banking and financial services industries
• Stay abreast of changes in industry regulations, and develop own competency through continuing education

Supervisor – Risk Compliance, Global Banks (AML/Audit)

• Participate in assessments and other services covering AML/CFT/Sanctions regulatory compliance
• Develop and implement AML policies and controls
• Conduct audits and suggest strategies for improvements
• Respond to enforcement actions with corrective action plans
• Develop relationships with clients in financial services industries

Senior Associate, Risk Compliance – Global Banks, AML, Audit

• Conduct routine surveillance reviews to identify unusual market activity
• Assist with analyzing trading activity for indications of potential violations
• Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories
• Assist with projects for testing and developing new analytics, surveillance tools, or processes
• Present investigative findings to management in an organized, concise, and timely fashion
• Follow the process for the documentation of review steps and results

Senior Analyst, Fraud Detection

• Conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity
• Analyzing trading activity for indications of potential violations
• Researching and providing internal updates regarding rules, regulations, guidelines, intelligences, and advisories
• Completing assigned tasks for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity
• Preparing well-organized, detailed, and accurate reports
• Completing documentation of review steps and results
• Demonstrating subject matter expertise and coaching/train colleagues in techniques, processes, and responsibilities
• Working on routine projects with the assistance of management
• Participating in initiatives across Surveillance

Associate Principal Analyst, Fraud Detection

• Provide strategic direction and day-to-day oversight of the Bank's BSA/AML compliance program, including Suspicious Activity Report (SAR) filing, Currency Transaction Report (CTR) processing, and Customer Due Diligence (CDD/EDD) requirements.
• Direct the annual BSA/AML risk assessment process, ensuring adequate coverage of all bank activities.
• Maintain and evolve BSA/AML policies, procedures, and controls in alignment with FinCEN guidance, FFIEC BSA/AML Examination Manual, and applicable state law.
• Oversee the Bank's transaction monitoring program, including system configuration, alert tuning, and escalation workflows.
• Ensure timely, complete, and accurate regulatory reporting to FinCEN, including the management of lookback reviews or remediation as needed.
• Lead the Bank's OFAC/sanctions screening program, ensuring controls are appropriately applied to mortgage loan origination, commercial credit underwriting, ACH, wire, and other payment channels.
• Oversee the fraud risk intelligence function, coordinating with Operations, Retail Banking, and Commercial Banking on emerging fraud typologies relevant to lending and deposit products.
• Serve as the primary compliance partner for the Mortgage and Consumer Lending business line, ensuring financial crimes controls are embedded in the origination lifecycle.
• Act as primary point of contact for BSA/AML and financial crimes-related internal audits and examinations.

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