Analyst, Financial Crime Office

Full-time - Entry Level

Charlotte, NC

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Equitable is currently looking to hire a Compliance Analyst within the Financial Crime Office (FCO), which is a part of Equitable's Legal and Compliance organization. This exciting position is located in either Charlotte, NC or Syracuse, NY. The Analyst, Financial Crime Office is part of a team that is responsible to promote and ensure that the Business operates in accordance with all legal and regulatory requirements. Additionally, monitors all Firm standards relating to Anti-Money Laundering (AML), Sanctions and Anti-Bribery/Corruption, so as to protect and enhance the reputation of the Firm with its regulators and avoid significant financial loss or reputational damage. As a key member of the team, performs initial review of manually escalated AML referrals received via the FCO hotline mechanisms as well as conducts secondary review of automated detections escalated from the initial review team. Quickly and efficiently reviews matters providing specific investigative feedback to allow for appropriate protection of the client and the company. The Compliance Analyst works closely with other team members and assists with other investigative activities as assigned. Prepares updates to team governance documents such as the Investigations manual.

Responsibilities

• Responsible for performing investigations related to suspected criminal activity.
• Retain case documentation and provide analysis of findings in written format.
• Research, analyze and investigate unusual client/policy activity or potential market manipulation schemes, penny stock manipulation scenarios, elder financial exploitation, and other investment product risks that could be indicative of money laundering.
• Investigate suspicious activity involving suspected money laundering or structuring of financial transactions to avoid government reporting requirements.
• Manage a case load in a fast paced team responsible for investigating and filing SARs regarding money laundering investigations and other financial crimes.

Requirements

• Bachelor's degree or 2+ years working in a position focused on identifying AML red flags in the financial service industry.
• Knowledge of USA Patriot Act/Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) regulatory requirements, including comprehensive understanding of OFAC sanctions and CDD/KYC requirements.

Nice-to-haves

• Knowledge of insurance process concepts.
• Knowledge of Equitable's products, process and controls of the organization.
• Knowledge of Equitable's policy, payment and others administrative systems for purposes of gathering triage evidence.
• Investigative techniques and process.
• Excellent written and verbal communication skills.
• Highly analytical with a controls mindset.
• Working understanding of AML concepts and investigative techniques.
• Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands.
• Self-motivated with excellent time management skills.

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• 401(k) plan
• Paid time off