| Job Description : |
Job Description:
The Compliance AML Execution Sr. Manager is a senior professional responsible for leading risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to provide direction to AML team(s), participate in the development of operational standards, and communicate with other areas of the business and external clients about AML activities. This role will manage operational planning and performance. Additionally, they are expected to perform all applicable management tasks.
Responsibilities:
Manage and develop a diverse AML team of staff
Liaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law Enforcement, where applicable.
Review and approve Suspicious Activity Reports (SARs) and cases/investigations/alerts; and recommend relationship retention or termination; and track account closures as required.
Use subject matter expertise as it relates to Brokerage and Trade activity to distil and synthesize the most pertinent information and write clear and concise summaries on the findings of the investigation
Manage risk by analyzing the root cause of issues and impact to business
Assist with AML Review/investigations of account activity.
Conduct research over available Bank systems, the Internet, and Databases consistent with the resolution of investigations.
Collect and examine financial statements/trade data and other documents to assist in identifying unusual transaction patterns
Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm’s reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
6+ years’ experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or financial investigations; or equivalent securities industry experience.
Series 7 and/or other FINRA registrations preferred
CAMS Certification is a plus
Previous supervisory experience
Excellent research skills including experience with online search tools.
Advanced proficiency in Microsoft Office (i.e., MS-Word, MS-Excel, MS-Access, MS-PowerPoint and MS-Outlook)
Strong writing, analytical and communications skills. Must be able to multitask and complete projects on time.
Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements preferred.
Comprehensive knowledge of AML regulations preferred
Adept understanding of complex financial products and transactions including equities, fixed income securities, DVP/RVP, private placement, asset management, security transfers, ACATS, etc.
Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements
General understanding of Senior Public Figures, Wealth Management and Retail Banking preferred as well as compliance with those business segments.
Excellent organizational, time management, and project management skills.
Strong Attention to detail and follow-up skills
Should be a self-starter, and organized, and must have the ability to work independently, without supervision.
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
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Job Family Group:
Compliance and Control
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Job Family:
AML Execution
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Time Type:
Full time
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Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Citigroup Inc. and its subsidiaries (“Citi”) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review Accessibility at Citi.
View the “EEO is the Law” poster. View the EEO is the Law Supplement.
View the EEO Policy Statement.
View the Pay Transparency Posting
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Effective November 1, 2021, Citi requires that all successful applicants for positions located in the United States or Puerto Rico be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccination prior to commencement of employment. |
