Associate - Compliance Analyst

Associate - Compliance Analyst

The Associate Compliance Analyst will participate in compliance and operations monitoring, governance, oversight, and regulatory reporting activities in coordination with compliance and internal control teams. The role of the Compliance Analyst is to ensure that the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA), and other governmental agencies, self-regulatory organizations and internal policies and industry best practices.

Manage : policy updates / edits / releases, posting and archiving, managing the policy database, managing disclosure requests, and posting compliance memos

Evaluate and monitor transactional activity to assess potential suspicious activity (e.g., money laundering)

Perform transaction monitoring alert reviews and sanctions hit reviews to be able to identify when activity requires further investigation

Interpret and implement client operating policies regarding financial data

Identify data anomalies and red flags for money laundering, terrorist financing, fraud, and sanctions violations, and escalate for second level review

Research, draft, and file Suspicious Activity Report (SAR) to enforcement networks, and document decisions not to file a SAR exercising independent judgment and discretion while handling sensitive cases

Execute account maintenance updates and process client lifecycle related reports

Ensure client vetting data and document processing comply with regulations, guidelines, standards, and policies for all new accounts

1+ year relevant experience

Associates or Bachelor's Degree required

Excellent written, communication, and presentation skills

Ability to interact and work closely with business stakeholders at all levels of seniority

Possess strong analytical thinking and critical reasoning skills

Ability to work effectively in a team environment

Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements

ACAMS and / or SIE certification a plus

A career at Capco is a chance to help reshape the competitive landscape in financial services. We launch new banks, transform existing ones, and help our clients navigate complex change. As consultants, we work on the front-end business design all the way through to technology implementation.

We are the largest Financial Services focused consultancy in the world, serving everyone from global banks to emerging FinTechs, from strategy through digital transformation, design, business consulting, data and analytics, cyber, cloud, technology architecture, and engineering.

Capco is a young and growing firm. We maintain an entrepreneurial spirit and growth mindset, and have minimal bureaucracy. We have no internal silos that get in the way of your career opportunities or ability to focus on our clients and make a difference to the business. We offer the opportunity for everyone to learn rapidly, take on tough challenges, and get promoted quickly. We take pride in our creative, collaborative, diverse, and inclusive culture, where everyone can #BYAW.

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.