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Senior AML Specialist

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SEI

15d ago

  • Job
    Full-time
    Senior Level
  • London

AI generated summary

  • You must have AML/compliance experience in financial services, strong supervisory and organizational skills, deep AML regulation knowledge, and effective communication abilities for business settings.
  • You will oversee AML operations, analyze client data, conduct risk assessments, monitor transactions, ensure compliance, manage audits, and lead a team to meet deadlines while refining procedures.

Requirements

  • Experience working in AML/Compliance roles in the financial services industry
  • Strong Supervisory and organizational skills evidence in prior roles within the financial services industry
  • Deep technical understanding of the AML regulations and the procedures related to the 1st line of defense responsibilities
  • Strong organizational and analytical skills
  • Strong communication skills to actively engage with senior Management, Compliance and Fin Crime
  • Demonstrate effective and professional written and verbal communication skills for a business work environment
  • Effectively coordinate, perform and complete multiple duties and assignments concurrently and in a timely manner.

Responsibilities

  • Act as the 1st line of defense within AML Operations
  • Analysing client and customer data to complete AML processes
  • Supervise the running of the AML Operations Team to meet key deadlines
  • Act as oversight and query management for the Internal Audit and Fin Crime teams
  • Transaction monitoring. Monitor and clear Transaction alerts daily, ensuring management are aware of any outstanding alerts and close of business
  • Conduct analysis of results within our screening system to refine parameters, and minimize false positives
  • Gathering and analysing direct client, and customer information to complete the AML process.
  • Verifying the identity of clients using prescribed documentation and processes
  • Communicating with direct clients to obtain missing documentation or data
  • Updating and maintaining the risk register in the company's database
  • Conducting risk assessments on new direct clients, and periodic assessments on existing clients using the Client Risk Assessment tool
  • Review Customer Due Diligence information
  • Be the point of contact for all internal audit and regulatory enquiries
  • Coordinate and assist in the update of policies and procedures on a periodic basis
  • Complete enhanced Due Diligence reviews on high risk direct clients/customers
  • Conduct ongoing monitoring of high-risk direct clients/customers and reporting any changes in risk levels, ensuring updates to risk registers
  • Support the account opening AML screening process for our offshore business
  • Preparation of Management information reports
  • Participation in Risk Meetings with Senior Management
  • Participate in the identification of technical development requirements and supporting the implementation of such enhancements
  • Carry out monthly reliance testing on direct clients/customers
  • Review and maintain the Risk and Control Self-Assessment for the AML Operations department
  • Review and maintain all procedures related to AML Operations
  • Supervise the day to day running of the team, ensuring the team are responding to queries, keeping to deadlines set and escalating as appropriate

FAQs

What is the primary role of a Senior AML Specialist at SEI?

The primary role is to act as the first line of defense within AML Operations, analyzing client and customer data to complete AML processes and supervising the AML Operations Team to meet key deadlines.

What kind of experience is required for this position?

Candidates should have experience working in AML/Compliance roles within the financial services industry.

What are the main responsibilities of the Senior AML Specialist?

Key responsibilities include transaction monitoring, conducting client and customer risk assessments, verifying identities, communicating with clients for documentation, maintaining risk registers, and preparing management information reports.

What skills are essential for this role?

Essential skills include strong supervisory and organizational abilities, deep technical understanding of AML regulations, strong analytical skills, and effective communication skills for engaging with senior management and compliance teams.

How does SEI support employee well-being?

SEI offers a wide range of benefits for physical and mental well-being, including comprehensive care, a strong pension plan, tuition reimbursement, and a focus on work-life balance.

Is teamwork important in this role?

Yes, the ability to work as a team player while also being able to work independently with minimal supervision is crucial.

Are there opportunities for professional development in this position?

Yes, SEI supports continuous learning and development, including tuition reimbursement and opportunities to participate in risk meetings and policy updates.

What kind of environment does SEI promote in their office?

SEI promotes an open and innovative work environment designed to encourage creativity, with numerous art installations and a focus on collaboration.

How does this role contribute to regulatory compliance?

The Senior AML Specialist acts as the point of contact for internal audits and regulatory inquiries, ensuring that all AML policies and procedures are up to date and effective.

What qualities does SEI value in its employees?

SEI values qualities such as courage, integrity, collaboration, inclusion, connection, and a sense of fun in its employees.

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SEI

We’re 4,000 employee entrepreneurs on a mission to build brave futures℠ through the power of connection.

Finance
Industry
1001-5000
Employees
1968
Founded Year

Mission & Purpose

SEI (NASDAQ:SEIC) delivers technology and investment solutions that connect the financial services industry. With capabilities across investment processing, operations, and asset management, SEI works with corporations, financial institutions and professionals, and ultra-high-net-worth families to solve problems, manage change, and help protect assets—for growth today and in the future. As of March 31, 2023, SEI manages, advises, or administers approximately $1.3 trillion in assets.