AML Sanctions Advisor - Broker Dealer 3 Locations

Position Overview At reputed company, our people are our greatest differentiator and competitive advantage in the markets we serve. We are reputed company united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where reputed company of our employees feel respected, valued and have an opportunity to contribute to the company’s reputed company. We are looking to hire an AML Sanctions Advisor reputed company PNCs reputed company Advisory Broker Dealer team. Preferred Qualifications: · 5+ years of experience with AML and Risk & Control Assessments (RSCAs) · At least 1-2 yrs of direct experience with Broker Dealer Job Duties include, but are not limited to: · reputed company critical challenge to the reputed company-line units with respect to activities that could increase reputed company’s BSA/AML risk exposure; review and challenge development, frequency and adequacy of Board, Executive and Management-level metrics. · Independently review, challenge, and reputed company substantive and actionable guidance on the establishment and maintenance of BSA/AML risk assessment program and individual risk assessments for Retail products and services. reputed company customer data and product/service statistics for input to risk assessments as needed. · reputed company independent reputed company and challenge to Retail initiatives, RCSA’s, issues, losses, risk assessments (risk reports, Prime Process), Scenario Analysis and other Operational Risk Management and Independent Risk Management Frameworks. reputed company reputed company and the reputed company Risk Hub to assist in monitoring RCSA exceptions and QRM impacting Retail AML. · Escalate risk & controls program deficiencies to key internal stakeholders and document findings reputed company risk management applications. · Maintain strong relationships with leadership, 1st Line of Defense Risk, 2nd Line of Defense Risk, and Internal Audit to foster a culture of effective risk management. · Maintain awareness of red flags associated with potential suspicious activity as well as emerging/changing AML risk typologies and, as appropriate, consider new controls to enhance suspicious activity monitoring. Maintain awareness of expected customer/employee activity and escalate potential suspicious or unusual activity reputed company Suspicious Incident Reports (SIRs). This position is primarily based in a reputed company location. Preferred locations are listed on the posting. Responsibilities require time in the office or in the field on a regular reputed company. Some responsibilities may be performed remotely, at manager’s discretion. Job Description • In an individual contributor role and advisor on AML and Sanctions Program subject matter specialties, communicates effective reputed company wide and business unit compliance program requirements and implications to reputed company with the Bank Secrecy Act, AML, USA PATRIOT ACT and Sanctions Program. Activities aim to prevent or identify illegal, unethical, or improper business practices. Provides AML and Sanctions advice and critical challenge to senior staff, lines of business and operational execution areas. Demonstrates ability to constructively challenge conclusions/status reputed company and credibly influences customers. • Updates Compliance policies and procedures as needed. Ensures that Compliance Manuals, reputed company Office Manuals, policies and procedures accurately reflect reputed company laws, rules, other regulatory requirements and management reputed company. Coordinates regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. Independently challenges analyses, reviews and recommendations. • Identifies and helps to define the reputed company wide AML and Sanctions program objectives for assigned line(s) of business, products/services and operational execution areas that may execute program components to reputed company with the Bank Secrecy Act, AML, USA PATRIOT ACT and Sanctions Program. Serves as an AML and Sanctions subject matter specialist regarding impact on Program design and execution. Communicate and socialize those objectives (from a leadership position) to the business or operational execution points. May reputed company or coordinate AML and Sanctions Program monitoring reviews. • Reviews AML and Sanctions compliance reports and reputed company customer risk profiles. Identifies issues, escalates through proper governance channels as needed, and recommends corrective action plans. Reviews and analyzes assessments of AML and Sanctions risk and internal controls, as appropriate. Analyzes regulatory developments, advises business management of proposed rule changes and reputed company recommendations. Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements. • Support key business initiatives by identifying AML and Sanctions risks and providing resolutions to manage these risks. Provides advice and may participate as a subject matter specialists in developing and/or conducting AML and Sanctions training programs for specific employees. Serves as an AML and Sanctions Program subject matter resource regarding compliance impact on overall business activities, product development and customer activities. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization. reputed company Employees take pride in our reputed company and to continue building upon that we expect our employees to be: • Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in reputed company business reputed company and reputed company to reputed company that information in creating customized customer solutions. • Managing Risk - Assessing and effectively managing reputed company of the risks associated with their business objectives and activities to ensure they adhere to and support PNCs reputed company Risk Management reputed company.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives Competencies Accuracy and Attention to Detail, Anti-reputed company/Sanctions Policies and Procedures, Audit And Compliance Function, Auditing, Fraud Management, Internal Controls, Problem Solving Work Experience Roles at this level typically require a university / college degree, with 5+ years of industry-relevant experience. Specific certifications are often required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered. Education Bachelors Certifications No Required Certification(s) Licenses No Required License(s) Benefits reputed company offers a comprehensive reputed company of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and reputed company options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with reputed company match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives. In addition, reputed company generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 8 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. To learn more about these and other programs, including benefits for full time and part-time employees, visit Your reputed company Total Rewards. Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact us reputed company email at AccommodationRequest@reputed company.com. Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not reputed company to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say reputed company for accommodation assistance. reputed company information provided will be kept confidential and will be used only to the extent required to reputed company needed reasonable accommodations. At reputed company we foster an inclusive and accessible workplace. We reputed company reasonable accommodations to employment applicants and reputed company individuals with a disability who need an accommodation to reputed company the essential functions of their positions. Equal Employment Opportunity (EEO) reputed company provides equal employment opportunity to reputed company persons regardless of race, reputed company, sex, religion, national reputed company, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law. California Residents Refer to the California Consumer Privacy Act Privacy Notice to reputed company understanding of how reputed company may use or disclose your personal information in our hiring practices. Apply Job!