Senior Oversight Specialist

Emploi pas sur LinkedIn

🕒 il y a 22 jours

⛰️ Colorado, Nebraska, +2 états de plus – Distant

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

⏰ Temps Plein

🟠 Senior

👻 Score fantôme 12%

Ce que ça veut dire : la probabilité que cette offre reste ouverte sans recrutement actif.Comment le lire : 60 % ou plus, on pense que c'est une offre fantôme. Un score plus bas est moins inquiétant.Comment on la calcule : ancienneté, republications, postes ouverts vs taille de l'équipe, rapidité de clôture, et si le salaire est indiqué.À noter : une estimation à partir de données publiques, pas un jugement sur l'entreprise. De vraies offres peuvent avoir un score élevé, alors prenez-le comme un indice, pas comme un fait.

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Ultimus Fund Solutions

Site WebLinkedInTous les Emplois

501 - 1000 employés

💸 Finance

☁️ SaaS

🤝 B2B

💰 Private equity en 2012-07

Finance • SaaS • B2B

Ultimus Fund Solutions est un prestataire indépendant de solutions d'administration de fonds et d'opérations d'investissement pour les conseillers et les gestionnaires d'actifs/fonds. L'entreprise propose des services personnalisés et évolutifs sur les marchés publics et privés, incluant l'agence de transfert, les opérations intermédiaires et d'investissement, le lancement et le soutien à la conversion d'ETF, ainsi que l'administration spécialisée pour les fonds mutuels, le capital-investissement, le crédit privé, les alternatives de détail, les REIT et d'autres structures de fonds. Ultimus combine ces services avec des plateformes technologiques intégrées et activées par l'IA (Ultimus Connect, Portfolio Analytics Portal, Workflow Manager, Portail Investisseur et Conseiller, Portail Investisseur Privé et outils associés) pour fournir des données, des rapports et une automatisation des flux de travail. Selon ses documents publics, elle administre plus de 775 milliards de dollars d'actifs, supporte plus de 2 500 fonds, 450 clients et plus de 1 200 associés.

Description

• 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.

🎯 Exigences

• 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.

🏖️ Avantages

• 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.