AML KYC Analyst

About Rockefeller Capital Management

Rockefeller Capital Management is a leading independent financial advisory firm - providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.

 

Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $112 billion in client assets.

Position

The AML KYC Analyst will be part of Rockefeller Capital Management's AML and Sanctions Compliance team. The Analyst is responsible for conducting diligence on Rockefeller Capital Management's new and existing clients. Specifically, the Analyst will assist with RCM's Customer Identification Program ("CIP"), client due diligence, and enhanced due diligence at the onboarding phase. With respect to existing clients, the Analyst will assist with periodic reviews and regular monitoring of client relationships.

Responsibilities

Conduct diligence on new and existing clients using online research tools; Communicate with the business to ensure AML Compliance possesses the required information during the onboarding phase, and that all customer and account information is captured properly in the Firm's various systems; Perform periodic reviews of existing clients to ensure identification of any changes in risk profile; Identify potential KYC issues and escalate to manager at onboarding and during periodic reviews; Track any identified issues for new or existing clients during periodic reviews and remediation efforts to ensure all identified issues have been timely resolved; Assist with FinCEN 314(a) searches; Assist with OFAC reviews; and Assist the AML Compliance team, as needed, during audits and regulatory examinations

Qualifications

Bachelor's Degree required 2+ years of experience as part of an AML/Sanctions Compliance team Knowledge of the Bank Secrecy Act ("BSA"), the USA PATRIOT Act, and FinCEN/SAR requirements Securities background within Private Wealth Management is a plus

Skills

Excellent research skills, including familiarity with online research tools (e.g., LexisNexis, World-Check) Familiarity with automated onboarding and transaction monitoring systems Strong writing, analytical, decision making/problem solving and communication skills Strong organizational and time management skills

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics").

 

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.

Employment Type: FULL_TIME