About this role
<p><span style="color:#ffffff">.</span></p> <div><div style="padding:10.0px 0.0px;border:1.0px solid transparent"><div style="font-size:16.0px;word-wrap:break-word"><H2 style="font-size:1.0em;margin:0.0px"><b>Overview</b></H2> </div><div><p> </p> <p><span style="font-family:arial, helvetica, sans-serif;color:black">Within Intesa Sanpaolo IMI Securities Corporation NY, the AML/KYC Associate provides oversight of the firm’s BSA/AML program and has primary responsibilities regarding new account documentation and all BSA/AML and OFAC Sanctions Regulations. Other general responsibilities include monitoring and reporting of employee electronic communications.</span></p></div></div><div style="padding:10.0px 0.0px;border:1.0px solid transparent"><div style="font-size:16.0px;word-wrap:break-word"><H2 style="font-size:1.0em;margin:0.0px"><b>What you'll be doing</b></H2> </div><div><p> </p> <p><span style="font-family:arial, helvetica, sans-serif;color:black">You will be in charge of the the following activities:</span></p> <ul> <li><span style="font-family:arial, helvetica, sans-serif;color:black">maintenance and revision of the firm’s AML policies and procedures</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">provide advice and guidance to the trading desks and Operations during new client onboarding</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">monitor firm’s activity and identify AML risks</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">conduct analysis, document review and approvals, and obtain information about customers at onboarding (KYC)</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">monitoring and updating Customer Risk Rating</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">sanction screenings for new customers and perform document refresh</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">assist with reporting of AML reports to Head Office</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">monthly and Quarterly reporting of RAF indicators to Head Office and Semi-annual Compliance and Controls reporting to Head Office</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">conduct enhanced due diligence, Customer Diligence and identify Ultimate Beneficial Owners (UBO)</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">FINRA and SEC Blue sheets submissions</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">FinCEN 314 (a) reporting and screening of the names required by FinCen</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">provide administrative support for Chief Compliance Officer</span></li> <li><span style="font-family:arial, helvetica, sans-serif;color:black">conduct Bloomberg electronic communications reviews, SMARSH phone communication reviews and monthly reporting. </span></li> </ul></div></div><div style="padding:10.0px 0.0px;border:1.0px solid transparent"><div style="font-size:16.0px;word-wrap:break-word"><H2 style="font-size:1.0em;margin:0.0px"><b>Who we are looking for</b></H2> </div><div><p> </p> <p><span style="font-family:arial, helvetica, sans-serif;color:black">If you are looking to turn your passion into a career and meet the following requirements, we would be delighted to hear from you:</span></p> <ul> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">3-5 years of experience in similar role</span></li> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">experience using Sanction/AML tools e.g. Lexus/Nexus, World Check</span></li> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">proficiency in Excel</span></li> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">familiarity with The Financial Action Task Force (FATF), USA PATRIOT Act & Bank Secrecy Act (BSA) and FinCEN</span></li> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">client Onboarding, KYC and Risk Assessments</span></li> <li style="font-family:arial, helvetica, sans-serif;color:black"><span style="font-family:arial, helvetica, sans-serif;color:black">bachelors Degree.</span></li> </ul> <p> </p> <p><span style="font-family:arial, helvetica, sans-serif;color:black">Preferred skills: ACAMs.</span> </p></div></div><div style="padding:10.0px 0.0px;border:1.0px solid transparent"><div style="font-size:16.0px;word-wrap:break-word"><H2 style="font-size:1.0em;margin:0.0px"><b>What we offer</b></H2> </div><div><p> </p> <ul> <li><span style="font-family:arial, helvetica, sans-serif">The salary range for this position is 100k $- 130k $</span></li> </ul></div></div></div><p> </p> <h2><span style="font-size:16.0px"><b>About us</b></span></h2> <p> </p> <p><span style="font-size:14.0px"><span style="font-family:Arial, Helvetica, sans-serif"><span style="color:black">Intesa Sanpaolo IMI Securities Corporation is a U.S. broker/dealer headquartered in the State of New York. It is indirectly controlled by Intesa Sanpaolo and is part of its IMI Corporate & Investment Banking Division. In the United States, Intesa Sanpaolo IMI Securities Corp. is a registered broker-dealer with the Securities and Exchange Commission, a FINRA member firm, and a member of the New York Stock Exchange LLC.</span></span></span></p> <p> </p> <p><span style="font-size:14.0px"><span style="font-family:Arial, Helvetica, sans-serif"><em><span style="color:black">Join an international and innovative Group. </span></em></span></span><span style="font-size:14.0px"><span style="font-family:Arial, Helvetica, sans-serif"><em><span style="color:black">Don't wait for the future, choose it!</span></em></span></span></p> <p><span style="font-size:14.0px"><span style="font-family:Arial, Helvetica, sans-serif"><b><em><span style="color:black">#sharingfuture</span></em></b></span></span></p> <p> </p> <p> </p> <p><em><span style="font-size:12.0px"><span style="color:#000000"><span style="font-family:Arial, Helvetica, sans-serif"><b>We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03. </b></span></span></span></em></p> <p> </p> <p><em><span style="font-size:12.0px"><span style="font-family:Arial, Helvetica, sans-serif"><b><span style="color:#000000">For the evaluation of the application, the data will be processed by Intesa Sanpaolo IMI Securities Corporation as Data Controller. We invite you to review the dedicated</span><u><span style="color:#000000"> </span><a href="https://performancemanager.successfactors.eu/doc/custom/intesasanp/Information_privacy_V3.pdf"><span style="color:#000000">Privacy Information Notice</span></a><span style="color:#000000"> </span></u><span style="color:#000000">for more details.</span></b></span></span></em></p>