Are you someone who has a proclivity for story-telling with data and is strategic, analytical and energetic? Do you enjoy building relationships, working with data, solving problems, ensuring controls and driving results in a fast-paced environment where collaboration & strategic thinking are the norm?

As an AML / KYC Officer II, Senior Associate in the AML/KYC Controls team, you will provide oversight and guidance so that the business delivers Anti-Money Laundering (AML) and Know-Your-Customer (KYC) strategies to assure our product and our customer base are fully compliant with Bank Secrecy Act (BSA), PATRIOT Act and FINRA requirements. You will be responsible for Anti Money Laundering (AML) strategic initiatives/projects to meet regulatory obligations which includes conducting research, analysis and providing qualitative/quantitative insights to lead and direct the projects and initiatives to meet our Global AML/KYC Standards. In this role, you will align with the Firm's AML/KYC initiatives which will require coordination with Project Teams, Compliance, Technology, Training, Communications, Legal, AML Operations and the Business. You will also work closely with various groups within Asset & Wealth Management, such as the AML/KYC Ops, Business Development and Relationship Management, and Operational teams to deliver ongoing requirements for capturing, reporting and monitoring compliance with regulatory standards.

For this role, candidates must be able to physically work in either our Chicago, IL, Columbus, OH, or Plano, TX offices 3 days a week and remotely from home 2 days per week. The specific schedule will be determined and communicated by direct management.

Job Responsibilities

• Lead, manage and contribute to best-in-class AML/KYC programs/projects/initiatives from end to end including design, develop, implement, review and reporting, addressing AML/KYC risks and controls, and communicating to Senior/Executive AML Management
• Identify problems or needs, and develop solutions or systems with some precedent.
• Ensure quality and timeliness of project results and facilitate proper recommendation & escalation to senior management
• Prepare management reports and presentations for assigned projects, present project decks to senior management and contribute/provide support to larger projects
• Coordinate with Risk Officer, Compliance Officers, their teams and line of business General or Regulatory Counsel on cross-line of business issues
• Assist with development and/or evaluation of Business and Functional Requirements related to execution of AML projects, User Acceptance Testing, Policies, Procedures, Quality Controls and post implementation validation
• Prepare Exam/Audit/Compliance readiness and coordination and ensure all processes are well documented, procedures are in compliance with the firm policies and KYC Standards
• Maintain the AML/KYC risk management and control framework to ensure consistent application of best practices and control standards across Asset & Wealth Management

Required qualifications, capabilities and skills

• Bachelor’s degree preferred or equivalent experience required
• 4+ years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or AML/KYC or equivalent subject matter expertise in a relevant business related function/operation
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) required and data analytics using Excel, Access
• Business knowledge - ability to understand the business / knowledge of regulation surrounding business
• Communication/presentation - excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
• Networking – strong interpersonal skills; strong collaboration and relationship building skills
• Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment
• Decision Making/Judgement - moderate level of independent decision making using sound judgement with emphasis on detail and follow-up
• Problem solving / Analytical skills - solid critical thinking, attention to detail and analytical skills; able to synthesize large amounts of data and formulate appropriate conclusions
• Implementation and Change Management skills and understanding root cause / identifying control breaks.
• Analyze metrics for emerging risk and developing timely and sustainable solutions

Applicants must be authorized to work for any employer in the U.S. We are not able to provide immigration sponsorship or take over sponsorship of an employment Visa at this time.

Final Job Grade level and corporate title will be determined at time of offer and may differ from this posting.

We are unable to provide relocation assistance for this role at this time.