RegulatoryControlAnalystAssociate

Assist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations, Assist in the surveillance of capital market trades i.

analyze trade alerts to identify relevant Market Abuse themes such as front running, pump and dump, market manipulation etc., Verify the trades executed are in the best interest and in line with the suitability (i.

risk profile) of the client, Maintain knowledge of AML risks and applicable regulations from a US perspective, Assist in reviewing customer transactions (Wires/ACHs) to identify potential money laundering indicators, promptly disposition alerts, and escalate cases that require further review in line with established escalation protocols, Analyze cross-border customer transactions (including transactions involving AFC rated EUHRTC countries) to evaluate consistency with the client’s expected activity and to identify transactions that may indicate potential money laundering., Conduct a review of Client Activity Monitoring (CAM) alerts arising from transaction anomalies and closed by the front office, to validate the disposition rationale and assess consistency with the customer’s account profile, including the nature and purpose of the account, Track and review transactions associated with clients having a Russian nexus to ensure compliance with applicable restrictions and to identify and escalate any potentially suspicious transactions for further review., Review transactions executed based on non‑original client instructions (such as telephone, fax, or email) to ensure compliance with the High‑Risk Media Policy requirements., Research entities and/or individuals using both public domain and database search services., Assist with the maintenance of existing Key Operating Procedures and the development of new Key Operating Procedures covering different processes/controls owned and executed by the BSO, Coordinate with and support business divisions and/or infrastructure functions in executing their responsibilities in improving the quality of the data and any data quality remediation actions.