Senior Oversight Specialist

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🕒 Julho 30

⛰️ Colorado, Nebraska, +2 estados a mais – Remoto

⛰️ Colorado – Remote 🌾 Nebraska – Remote 🗽 New York – Remote 🏈 Ohio – Remote

⏰ Tempo Integral

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Ultimus Fund Solutions

SiteLinkedInTodas as Vagas

501 - 1000 funcionários

💸 Finanças

☁️ SaaS

🤝 B2B

💰 Private equity em 2012-07

Finance • SaaS • B2B

Ultimus Fund Solutions é um provedor independente de soluções de administração de fundos e operações de investimento para consultores e gestores de ativos/fundos. A empresa oferece serviços personalizados e escaláveis em mercados públicos e privados — incluindo agência de transferência, operações de meio de escritório e de investimento, apoio ao lançamento e conversão de ETFs, e administração especializada para fundos mútuos, private equity, crédito privado, alternativas de varejo, REITs e outras estruturas de fundos. A Ultimus combina esses serviços com plataformas tecnológicas integradas e habilitadas por IA (Ultimus Connect, Portal de Análise de Portfólio, Gerenciador de Fluxo de Trabalho, Portal de Investidores e Consultores, Portal de Investidores Privados e ferramentas relacionadas) para fornecer dados, relatórios e automação de fluxo de trabalho. Segundo seus materiais públicos, administra mais de $775 bilhões em ativos, apoia mais de 2. 500 fundos, 450+ clientes, e 1. 200+ associados.

Descrição

• Detects, investigates, and prevents fraudulent activities within the organization. • Performs identity verification review on new account shareholders, authorized signers, and beneficial owners, to satisfy Know your Customer ‘KYC’ and ‘AML Policy’ requirements. • Conducts comprehensive reviews on all politically exposed person (PEP) and OFAC/various watchlist alerts. • Requests supplementary documentary evidence from those persons who do not immediately pass KYC verification and updates account accordingly. • Reviews various reports to evaluate and monitor transactional activity to identify potential suspicious activity. • Performs manual “real time” KYC identity verification for requests submitted by related departments. • Reviews account activity and provides timely responses to Red Flag submissions; records suspicious activity, including shareholder personal information, in various internal watchlists. • Adheres to designated timelines and procedures to ensure timely and accurate completion of tasks. • Attends training and provides guidance to associates on fraud detection and prevention techniques. Raises awareness of fraud risks and promotes a culture of vigilance. • Assists with identification, organization, and dissemination of archived materials to support completion of SOC1 and annual AML audits. • Assists with client conversion data reviews and department clean-up projects, as needed. • Assists with production and quality control review of quarterly client AML certifications. • Conducts a bi-weekly FinCEN processing and quality control review; reports any “positive hits” to AML Manager and AMLCO; provides certifications to clients. • Conducts a quarterly OFAC processing and quality control review; reports any “positive hits” to AML Manager and AMLCO. • Processes monthly Lexis Nexis invoices to Accounts Payable in a timely manner. • Creates extensive written team procedures and maintains in Knowledge Management System (KMS) database. • Assists with Lexis Nexis administration role to maintain user access status, establish new users, etc.

🎯 Requisitos

• Bachelor’s degree in finance, law, business administration, or a related field. • 3-5 years of experience in AML compliance and fraud detection, preferably within the financial services industry. • Bank Secrecy Act (BSA), Anti-Money Laundering (AML)/Terrorist Financing, Customer Identification Program (CIP), Know Your Customer (KYC), Office of Foreign Asset Control (OFAC) regulatory and program requirements. • Effective internet search techniques. • Microsoft Office Suite, with demonstrated experience in Excel, including pivot tables, macros, filtering, and sorting. • Adobe Acrobat.

🏖️ Benefícios

• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used. • Collaborates with the correspondence team to create and maintain written shareholder communication templates to be used with collection of supporting KYC documentation. • Contact as needed with clients, financial representatives, and shareholders regarding general information, resolution of issues, inquiries, or reporting requirements. • Contact with members of AML Oversight team and various other internal teams regarding follow-up inquiries, open workflow, etc.