AML Compliance Analyst, Surveillance and Investigations Job at Brown Brothers Harriman
At Brown Brothers Harriman, we believe no job is too big or small for any of us to handle if it helps our clients. We value passionate, committed people who enjoy collaborating with others to find new solutions to complex business challenges. We are looking for the type of person who speaks their mind, truly listens and steps outside their role to add value wherever they can. Someone who is driven to get things done and views obstacles as an exciting challenge that demands a creative solution. Above all, we seek someone who takes great pride in their work and is inspired and motivated by their role in protecting and enhancing our client’s financial well-being.
If you are looking for an entrepreneurial environment where you can learn and thrive, Brown Brothers Harriman is the right place for you. Brown Brothers Harriman is currently recruiting an AML Compliance Intermediate Analyst Surveillance & Investigations to join our Compliance team.
The AML Compliance Intermediate Analyst is responsible for conducting in depth and timely internal reviews of possible violations of the Bank Secrecy Act, US PATRIOT Act or securities regulations and all matters related to potential money laundering, terrorist financing, fraud and inappropriate securities activity. The Intermediate Analyst conducts transaction reviews of clients, quality assurances for account approvals and onboarding due diligence and may draft investigative reports with recommendations for appropriate disposition, which are supported by factual evidence and analysis, to Manager. This position handles more complex regulatory inquiries and investigations and acts as a point of escalation for the junior analysts in the group.
Responsibilities:
Surveillance & Investigations
- Lead QC reviews of AML, fraud, and cyber Investigations, including Suspicious Activity Reports (SARs)
- Knowledge of relevant FinCEN advisories and SAR best practices
- Maintain a high level of understanding client transaction and trading activity, due diligence, and analysis to identify potential gaps or errors material being reviewed
- Manage the FIU QC process to ensure investigation and alert quality and timeliness
- Identify areas of enhancement across investigations and the greater FIU work streams
- Acts as a point of escalation for the junior analysts in the group.
- Complete surveillance alerts or investigations on an ad-hoc basis
Program
- Regularly updates and ensures accuracy of all tracking logs for metrics reporting
- Assist in the enhancement of existing policies and procedures
- Assists in the production of FIU metrics reporting to management (daily, weekly, monthly, quarterly)
- Participate in various AML/FIU committees regarding governance, as needed
System
- Conducts User Acceptance Testing (UAT) for system enhancements and documents work product
- Maintains system administration tables and updates
- Masters both proprietary and vendor-based systems to help identify solutions to surveillance issues that may arise in day-to-day activity
Training
- Ensures timely completion of all mandatory training requirements
- Ensures all licenses and certifications are up to date
- Keeps abreast of regulatory changes and news
What We Offer:
- A collaborative environment that enables you to step outside your role to add value wherever you can
- Direct access to clients, information and experts across all business areas around the world
- Opportunities to grow your expertise, take on new challenges, and reinvent yourself—without leaving the firm
- A culture of inclusion that values each employee’s unique perspective
- High-quality benefits program emphasizing good health, financial security, and peace of mind
- Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
- Volunteer opportunities to give back to your community and help transform the lives of others
Full time Utica
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