**Essential Duties and Responsibilities** + Designs and executes AML & Sanctions compliance testing plans, including sampling methodologies and risk-based test scripts to assess adherence to regulatory requirements and internal policies. + Evaluates the effectiveness of AML & Sanctions controls, transaction monitoring processes, and suspicious activity reporting procedures through independent testing. + Prepares detailed reports of AML & Sanctions testing results, including findings, root cause analysis, and recommendations for remediation. + Monitors corrective actions taken to address identified issues and ensures timely resolution. + Collaborates with AML & Sanctions compliance leadership to ensure testing aligns with regulatory expectations and industry best practices. + Researches AML & Sanctions regulatory requirements, emerging risks, and industry best practices to inform testing scope and procedures. + Reports AML & Sanctions testing results, trends, and remediation progress to compliance and business management. + Supports external AML audits and regulatory reviews by providing testing documentation and results. + Coaches, trains, and mentors less experienced compliance testers on testing methodologies and regulatory expectations. + Prepares and delivers testing reports and presentations to senior management, highlighting findings and recommendations. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + AML regulatory framework (BSA, USA PATRIOT Act, OFAC, FinCEN guidance) and global standards (FATF recommendations). + AML program components, including Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), transaction monitoring, and suspicious activity reporting. + Risk-based testing methodologies and internal control frameworks. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. **Skill in:** + Designing and executing compliance testing plans. + Analyzing processes and identifying control gaps. + Drafting clear, actionable testing reports and communicating findings to stakeholders. + Coordinating complex compliance testing activities and managing multiple engagements. **Ability to:** + Apply AML & Sanctions regulatory requirements to testing scenarios. + Work independently to manage multiple testing engagements. + Influence remediation efforts through strong analytical and communication skills. + Partner with other functional areas to accomplish objectives. + Maintain confidentiality and stay current on AML & Sanctions regulatory changes and best practices. **Educational/Previous Experience Requirements** Bachelor’s degree (B.A./B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + Certified Anti-Money Laundering Specialist (CAMS) certification required, or ability to obtain CAMS certification within six months of hire. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.