Compliance Analyst II

3 weeks ago

Waterloo, Canada Compunnel Inc. Full time

Story Behind the Need

  • Business group: Detail LOB & team's purpose at the bank: Our AML Operations Team within the Compliance Group is dedicated to ensuring we comply with all regulations. We handle operations and associated investigations to maintain regulatory compliance. We are looking to hire someone with a strong background in AML who can conduct AML assessments for both the banking side and non-bank products. Experience in banking, insurance, and AML is essential.

Candidate Value Proposition

  • The successful candidate will have the opportunity to work, gaining valuable experience with AML and insurance. This role offers exposure to learning about the insurance industry. Our team is currently undergoing a transformation, presenting a huge opportunity to showcase your skills and truly shine by sharing your knowledge. We are looking for individuals who bring AML experience and are ready to go above and beyond. This is a fantastic time to stand out and make a significant impact. We are seeking stars who are eager to start their careers.

Job Description:

Summary: The AML/ATF Operations team is responsible for complying with the anti-money laundering/anti-terrorist financing (AML/ATF) regulations on behalf of all Canadian domiciled entities. This includes: The Investment Management Limited, Wealth, Investments and Bank and Trust. Reporting to the AML/ATF Program Manager, the AML Compliance Analyst will be responsible for the effective investigation and case management of watch list scanning and transaction scenario monitoring for all lines of business in accordance with AML/ATF policies and procedures.

Position Responsibilities:

  • Conduct AML assessments based on referrals from Business Areas and determine the appropriate course of action based on unusual activity.
  • Assess daily transaction monitoring alerts, understanding the indicators, facts, and context of the transaction activity.
  • Investigate and assess the risk of alerts identified by customer risk assessment tools using judgment and knowledge of money laundering patterns to assess whether transactions are suspicious; conduct investigations; make recommendations as to the appropriate course of action and document details of suspicion where required.
  • Maintain proper records and audit trails of investigation activity and disposition actions for all alerts, ensuring compliance with regulatory filing requirements.
  • Assess daily ATF/PEP/Country watch list alerts to determine if watch list record has a business relationship; and performing enhanced due diligence as required with appropriate reporting.

Required Qualifications:

  • 2+ years of AML/ATF experience.
  • Understanding of AML/ATF regulations and risk management.
  • Effective analytical skills and strong oral and written communication skills
  • Strong time management with ability to take responsibility and operate independently to ensure that compliance objectives are achieved.
  • Minimum 6 months of Banking or finance industry experience

Preferred Qualifications:

  • Solid experience with AML/ATF management & reporting systems (e.g., PRM, FCRM, FWR).
  • Strong knowledge of all products, processes, and systems.
  • Banking and/or Securities sector AML/ATF experience
  • CAMS certification.
  • Bilingual in French.

Education:

  • Bachelor's degree
  • Certifications: CAMs is preferred.

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