Job Details
Description
Summary
The Compliance Analyst III-AML Technology Governance assists the Stifel AML Compliance Officer with developing, overseeing, and governing Stifel's anti-money laundering (AML) technology systems. The Analyst III leads and coordinates enhancements to technology and helps ensure the integrity of AML compliance systems while continuously seeking out opportunities for efficiency and improvement.
Essential Duties & Responsibilities
- Lead or participate in the testing, tuning, troubleshooting, and validating of AML compliance systems and exception reports.
- Maintain a roadmap of AML-related system enhancements.
- Coordinate prioritizing system-related projects to align with business needs and firm and department strategy.
- Act as a liaison between AML Compliance and software/application providers.
- Document technical specifications for internal and external systems development.
- Develop and maintain internal exception reports.
- Perform data queries and analysis.
- Assist with model and systems documentation and validation.
- Seek and implement improvements in efficiency via technology.
- Other duties as assigned.
Qualifications
- Working knowledge of BSA/AML compliance risks relevant to the financial services industry.
- Self-motivated with the ability to work independently or in a team setting while prioritizing concurrent projects and meeting deadlines.
- Ability to effectively communicate to different target audiences, interpret and communicate technical specifications and systems documentation to business users, and clearly communicate system/technology requirements to developers.
- Strong analytical skills with high attention to detail and accuracy.
- Knowledge of principles of project management and business process improvement.
- Ability to integrate extensive data sets from various sources to sort, filter, query, transform, and present a work product to satisfy a business need.
- Willing to take on additional responsibilities to produce outstanding work, strives for excellence, and maintains a positive attitude through stressful situations.
- Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment.
- Takes pride in ownership of wins and learns from losses/mistakes.
- Experience with surveillance systems and exception reporting preferred.
Education & Experience
- Bachelor's degree or equivalent industry experience.
- 5+ years of experience in financial services risk management or technology-related field.
- AML compliance experience is preferred.
- Licenses & Credentials
- CAMS certification is preferred.
Systems & Technology
- Proficiency in using Microsoft Office suite with a strong emphasis on Excel.
- Experience with data analysis tools (i.e., Excel, SQL, SharePoint, PowerBI, PowerAutomate, etc.).
- BSA/AML systems experience is preferred.
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
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