Work with client to gain understanding of their business and system processes, for both AML and Surveillance (Trade Surveillance or Control Room), in order to help deliver company controls and solutions that strengthen aspects of their business

- Work with client to develop and strengthen risk and compliance functions, for both AML and Surveillance (Trade Surveillance or Control Room),, through governance structures, policies, procedures, controls, operational effectiveness, and internal controls

- Work with client to improve the capabilities of their existing compliance programs, for both AML and Surveillance (Trade Surveillance or Control Room),, based on industry best practices

- Perform system validations across the client’s existing risk and compliance systems to ensure that the system’s functions are working as designed. Specific areas include data quality, policies & procedures, soundness of design, implementation accuracy, and model performance

- Development of business requirements, and functional specification documentation

- Perform advanced data analysis using standard SQL technologies (Oracle, SQL Server, or equivalent) to better understand end-to-end data flows between source systems to compliance systems

- Active participation throughout Software Development Lifecycle (SDLC) of the project, from requirements, analysis, testing, and implementation

- Assist with development of Extract, Transform, and Load (ETL) and data mapping activities by leveraging knowledge of programming languages such as Python, Perl, SQL, or equivalent to review and/or document the transformation logic for implementation and deployment

- Perform configuration of compliance surveillance systems to set up the rules, detection logic, thresholds, and scoring that will be used across sanctions screening, customer risk rating, and transaction monitoring systems

- Conduct model tuning across the risk and compliance surveillance systems to increase effectiveness and efficiency of worthwhile alerts while minimizing operational overhead

- Development of management and analytical dashboards summarizing model performance and allowing for drilldowns to the raw data that is used for business intelligence, data analysis, and reporting purposes

- Aid in the development and presentation of proposals for the firm’s offering of compliance systems implementation, model validation and advisory services

- Manage teams of analysts to ensure that the project’s goals and priorities as committed to the clients are met

- Stay current on industry best practices and recent developments in requirements, methodologies and tools within the Compliance and AML space in order to continue to evolve the firm’s expertise and better support current and future needs

Tools experience required:

•         Actimize AML SAM 8 or 9 version, Actimize Trade Surveillance modules, Actimize Control room

•         Microsoft SQL Server