AML- Client Intelligence Unit (CIU) CDD Analyst III Job Listing at Stifel in Saint Louis, MO (Job ID 7485)

Description

The AML- Client Intelligence Unit (CIU) CDD Analyst III is responsible for providing a holistic review of potential high risk clients from a risk based approach. The CIU CDD Analyst III conducts surveillance reviews to identify potential suspicious activity, Politically Exposed Persons (PEPs) reviews, negative news/derogatory information reviews, potential Office of Foreign Asset Control (OFAC) match reviews, beneficial ownership reviews, Marijuana Related Business (MRB) reviews, subpoena/law enforcement inquiry reviews, internal/external escalation reviews, and supervisory reviews. The role is responsible for supporting/leading various projects including, but not limited to remediation, testing efforts, drafting best practices/procedures, reviewing/approving/filing Suspicious Activity Reports, and other projects as assigned by the AML leadership team.

• Conducts CDD reviews for PEPs, sanctioned individuals, Negative News/ Derogatory information, potential OFAC matches, and MRB reviews.
• Reviews new account opening documentation for new entity accounts to ensure the beneficial ownership obligation is met.
• Performs background investigations in accordance with AML and other regulatory standards to help prevent operational and reputational risk.
• Review and conducts adverse media searches and suggests account restrictions and/or account closures based on risk to the institution.
• Performs a holistic review of high risk customers using customer risk scoring models in accordance with departmental processes and procedures.
• Performs CIP reviews to ensure the CIP obligations are met.
• Identifies potential enhancements in AML CDD processes and offer potential solutions and assists in creating and maintaining up-to-date policies and procedural documentation.

• Experience conducting and/or leading complex financial crimes investigations, including fraud, money laundering, and other illicit financial activities involving global clients, with an emphasis on analyzing financial activities, identifying potential risks, and addressing complexities arising from international client relationships
• Strong understanding of AML BSA Compliance for CIP, KYC, CDD, EDD
• Ability to identify and report suspicious activity
• Strong understanding of complex transactional life cycles within a financial enterprise, including but not limited to; brokerage, banking, lending, credit cards, trusts, and investment banking
• Working knowledge of compliance analysis and reporting with the ability to identify and affect appropriate risk and control mechanisms
• Strong knowledge of brokerage and banking products

• Minimum Required: Bachelor's Degree or equivalent combination of education and experience.
• Minimum Required: 6+ years of financial industry or related experience; 5+ years of AML or related risk experience.

• Microsoft Office (Outlook, Word, Excel and PowerPoint
• AML software, Capital Markets surveillance and SQL Server
• Experience with Actimize
• Thomson Reuters Clear, Moody's Data Analytics (RDC)

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let's talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.