Global Financial Crimes (GFC) coordinates day-to-day implementation of the Firm’s enterprise-wide financial crime prevention efforts. GFC includes several legal and compliance disciplines and has responsibility for governance, oversight, and execution of the Firm’s Anti-Money Laundering (AML), Economic Sanctions, Anti-Tax Evasion, Anti-Corruption and Government and Political Activities Compliance programs. GFC also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units to know their clients and conduct appropriate due diligence and to prevent, detect and report potentially suspicious activity.
Background on the Team
The US Screening team monitors and investigates transactions and client relationships for sanction issues and suspicious activities.
Reporting Lines
This role reports ultimately to the Head of US Investigations. The role does not have direct reports.
Primary Responsibilities
Responsibilities include performing analysis and due diligence on results from OFAC/Sanctions, 314a, Adverse Media and Politically Exposed Persons (“PEP”) and other watchlist screening of customer accounts according to Firm’s policy and procedures.
The US Screening Analyst will:
- Analyze output of OFAC/Sanctions, negative news, PEP and other applicable watchlist screening and make decisions on appropriate action to take
- Review payment exceptions (Wires, Checks, ACH etc.) generated from watch list alerts, including evaluating and analyzing payments to determine approval, rejection or the need for further investigation
- Analyze, investigate, resolve and document potentially suspicious transactions or exceptions
- Conduct open-source research and due diligence, including searches in external and internal databases
- Support any special projects or critical casework.
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