Job Description

Summary:

This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and advising business lines on the ESG implications of transactions and high risk KYC files. This includes in-depth analysis of transactions from a data, client, and financial product perspective, ensuring alignment with internal policies and external regulatory requirements, including Anti-Money Laundering (AML) and Sanctions obligations.

Key Responsibilities:

• Conduct analyses and provide guidance to Front Office of customers/ transactions to assess compliance with ethical, governance, and sustainability standards.
• Review daily transactions to ensure that all activity is in compliance w/ current BSA/AML regulatory standards. Evaluate clients and financial products through an ESG and risk-based lens, identifying potential regulatory, reputational, and sustainability issues.
• Collaborate with business lines to provide proactive guidance on compliance and ethics considerations for new or complex transactions.
• Support the development and implementation of internal policies and controls aligned with ESG principles, good governance practices, and regulatory expectations.
• Integrate AML considerations into broader compliance assessments, ensuring that financial transactions are not only environmentally and socially responsible but also free from illicit financial risks.
• Liaise with AML and KYC teams to align transaction analysis with customer due diligence and monitoring procedures.
• Prepare and deliver clear, actionable compliance and sustainability advice, reports, and recommendations to business stakeholders.
• Monitor evolving regulatory landscapes related to AML, ethics, and sustainability, advising the organization on necessary adaptations.
• Participate in internal training and awareness programs to promote a culture of ethics, compliance, and responsible business.
• Assist with the analysis of updates in regulations and/or policies to ensure that the Bank is compliant with US regulations, as well as the Bank’s policies and procedures.
• Assist with the implementation of any new requirements that come as a result of new regulations or policies and procedures.

Management and Reporting:

The position reports directly to the Head of Advisory – Financial Security.

Key Internal Contacts:

The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support.

Key External Contacts:

The employee may have occasion to interact with external auditors and/or regulators during exams.

Qualifications/Education Required:

Bachelor’s degree in Law, Finance, Business, Sustainability, or a related field.

Experience Required:

• 5+ years of experience in compliance, risk, ESG advisory, or related functions within financial services.
• CAMS Certification preferred

Competencies:

• Knowledge of US AML and OFAC regulations
• Strong understanding of financial products and services, and how ESG and compliance factors affect them.
• Familiarity with regulatory expectations on ESG matters.
• Analytical mindset with the ability to interpret complex data and regulatory requirements.
• Knowledge of International AML and Sanctions regulations preferred
• Understanding of financial products and services, and how ESG and compliance factors affect them preferred.

Skills & Knowledge Requirements desired:

• Proficient in Microsoft suites
• IT Knowledge of AML tools preferred

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