**Job Summary:** Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to implement Customer Identification Program (“CIP”) requirements in compliance with AML rules and regulations. Leads projects of moderate scope and complexity and serves as a technical advisor to various business lines. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research and resolve problems. **Essential Duties and Responsibilities:** • Manage customer onboarding verification process, including documentation collection and validation, to ensure compliance with AML rules and regulations. • Review existing and prospective client accounts for potential matches to designated sanctions targets and prohibited persons lists. • Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate to Management. • Conduct Enhanced Due Diligence for various business lines on all high risk accounts opened and/or subject to Management approval. • Perform client due diligence reviews utilizing internal and third-party research tools. • Prepare and lead AML trainings of targeted divisions within the Firm. • Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the US PATRIOT Act. • Mentor colleagues/peers on internal AML policies, rules and regulations. • Inform senior management about issues that may involve rule violations or potential liability. • Maintain currency in laws and regulations pertaining to anti-money laundering compliance. • Perform other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities:** **Knowledge of:** • Customer Due Diligence, Enhanced Due Diligence and other KYC policies and procedures • Concepts, practices and procedures of securities industry and/or banking compliance reviews. • Rules and regulations of the US PATRIOT Act. • Fundamental investment concepts, practices and procedures used in the securities industry. • Principles of banking and finance and securities industry operations. • Financial markets and products. **Skill in:** • Administering anti-money laundering policies and procedures. • Planning and scheduling work to meet regulatory organizational and regulatory requirements. • Identifying and applying appropriate compliance monitoring procedures and tests. **Ability to:** • Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate. • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. • Communicate effectively, both orally and in writing. • Independently research and resolve issues while working across teams to acquire information. • Provide a high level of customer service. • Establish and maintain effective professional working relationships at all levels of the organization. • Handle highly confidential information professionally and with appropriate discretion. • Maintain currency in anti-money laundering rules and regulations and compliance examination techniques and best practices. **Educational/Previous Experience Requirements:** • Bachelor’s Degree from a four-year college or university in a related field and one (1) to three (3) years of experience in AML customer onboarding and investigatory experience. ~or~ • Any equivalent combination of education, training and/or experience approved by Human Resources. **Licenses/Certifications:** • CAMS preferred or ability to obtain.