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Enhanced Due Diligence Team Lead

CHICAGO-60601, IL, US
10/11/2019

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Required Skills

MS Excel

Company

Infinity Consulting Solutions, Inc

Experience

2 to 5 Year(s)

Job Description

Enhanced Due Diligence Team Lead

This Team Lead Will Be Expected To

Train and lead a team of Compliance Analysts responsible for conducting due diligence and enhanced due diligence on certain existing and prospective accounts.

This will include higher risk accounts and accounts introduced by US and non-US brokers on an omnibus basis.

Have a good working knowledge of SEC, Client, CFTC, NFA, and state and foreign regulations related to AML and EDD requirements.

Assist with designing enhancements to the firm’s automated systems to facilitate the firm’s due diligence efforts.

Assist with creating and implementing policies and procedures relative to the firm’s enhanced due diligence program.

Conduct supervisory reviews and provide constructive feedback to Analysts.

Review and draft Suspicious Activity Reports.

Qualification

Bachelor’s degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.

Minimum 2-5 years’ experience handling AML and/or EDD issues at a regulator, industry association, law
firm, consulting firm, an investment advisory firm, or another broker-dealer or FCM are preferred.

Prior experience in a highly automated environment and/or high degree of comfort with computers and technology.

Understanding of how technology is applied to business and regulatory issues.

Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.

Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.

Excellent writing and oral communication skills.

Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.

Series 7 license preferred, but not required. Other Client licenses a plus.

ACAMS, CFE, CFCS certifications a plus.

Intermediate experience with MS Outlook, MS Word, and MS Excel.