Financial Intelligence Unit (“FIU”) Compliance Officer

13th January 2017
Job Type


Key Responsibilities:

  • Review alerts or exceptions generated by Prime transaction monitoring system or other internal and external sources.
  • Responsible for documenting alerts and exceptions investigations using Google, WorldCheck, Internal Databases and other available sources.
  • Provide guidance and instruction to the other FIU analysts as needed.
  • Working in conjunction with the FIU and Compliance team in NY where necessary to identify, investigate, and escalate transactions that represent unusual or potentially suspicious activity.
  • Liaise with operations and on-boarding teams as needed to obtain KYC information on customers if needed during an investigation and ensure that the profiles are consistent with current account activity.
  • Obtain any additional information needed to gain a better understanding of a customer or transactional activity via Requests for Information (“RFIs”).
  • Document AML Cases and supporting documentation in Prime.
  • Maintain a log of Suspicious Activity to evidence investigate activity, disposition and reasons for conclusions.
  • Prepare recommendations for disposition of cases and draft SAR reports for filing with FinCEN.
  • Keep abreast of regulatory changes, industry best practices and potentially suspicious patterns of activity and recommend changes to rules, parameters and thresholds maintained within the BSA Prime Reporter system to ensure its continued effectiveness.
  • Assist in preparing MIS AML Monitoring Reports.
  • Assist as needed in the UAT testing related to Prime BSA system or monitoring rules enhancements.
  • Using the established procedures report system, data or monitoring rules issues to the appropriate parties for timely resolutions.

Key Requirements:

  • Experience working in a regulatory and/or compliance, law enforcement or other investigative capacity within a financial institution setting.
  • Bachelor’s Degree in business administration, finance, or similar field.
  • Working knowledge of Capital Markets and current regulatory environment in the Financial Service Industry
  • Strong understanding of the U.S. Regulatory Landscape
  • Knowledge of Transaction Monitoring systems (i.e. Prime BSA Reporter) and other investigative tools (i.e. WorldCheck and others)
  • Experience in working on dynamic and multifaceted projects
  • Strong analytical, critical thinking, writing, communication and interpersonal skills
  • Working knowledge of Excel, including data analysis

If you require any more information please contact Greg Pallay:; 646-618-8862

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