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Compliance Operations - Client List Screening Analyst

Req #: 170112253
Location: Brooklyn, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.

 

The Global Compliance Operations (GCO) organization provides management and oversight associated with operational support for Global Compliance including the development of operational centers of excellence for compliance functions which are operational in nature including: Alert Operations (Level 1 Alerts Disposition), OFAC/Client Screening, Due Diligence, Look Backs, Disclosure of Interest, Account Activity Reviews, Personal Account Dealing, and Licensing & Registration.

 

GCO is responsible for supporting and leading aspects of the firm's Anti-Money Laundering (AML) program. The team works closely with the AML Program Management Office, Global Financial Crimes Compliance and the enterprise-wide control program teams to identify, remediate and track issues, and develop controls to sustain improvements as they are made. The company's responsibilities related to Anti-Money Laundering span every business, function and region - and apply to every customer and client of the firm.

 

The Corporate AML Operations, Client List Screening (CLS) Unit performs the complete process around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions looking for known or suspected money launderers, terrorists or drug dealers. The CLS Analyst will be based in Newark, Delaware.

 

Responsibilities include:

  • Reviewing alerts around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions looking for known or suspected money launderers, terrorists or drug dealers. 

  • Performing due diligence on Politically Exposed Persons (PEPs) and Special Persons of Interest (SPOIs) in addition to screening clients against sanction and negative media profiles.

  • Internal/external written and verbal communication of issues, directing searches, reviewing, reporting upon and documenting the results. 

  • Reviewing alerts to determine if a true match to a suspect name will include:  the results of periodic systematic accountholder screenings, real-time review of online transactions and the review of specific issues escalated from business units. 

  • Reviewing, inputting and triage of internal referrals of suspicious customer activity.

  • Perform at a 100% quality rate while balancing high-throughput requirements.

  • Will perform additional duties as requested

  • Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up

  • Must be a current Year-Up intern

  • 1-3 years experience in financial compliance, customer contact or service operations preferred.

  • Self-starter, capable of working under minimum supervision.

  • Individual must be results driven and have attention to detail, maintain a sense of urgency and ability to prioritize/multi-task

  • Strong sense of accountability and ownership over “quality” and end-to-end best practices

  • Strong analytical/time management skills

  • Results-oriented team player

  • Able to meet goals and quotas

  • Adept at multi-tasking and meeting deadlines in a high-pressure environment

  • Strong problem solving abilities

  • Strong communication skills are a must – verbal and written

  • Adaptable, flexible, and willing to work in a dynamic environment

  • Proficiency in MS Word and Excel.

  • Strong documentation skills to clearly articulate alert disposition

  • Adherence to controls and standards

  • Knowledge of AML/KYC compliance including the USA Patriot Act, Bank Secrecy Act, OFAC and related AML regulations preferred.

 

This position is anticipated to require the use of one or more High Security Access (HSA) systems. Users of these systems are subject to enhanced screening which includes both criminal and credit background checks, and/or other enhanced screening at the time of accepting the position and on an annual basis thereafter. The enhanced screening will need to be successfully completed prior to commencing employment or assignment.

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