Compliance Coordinator, Regulatory Center of Excellence

As a screening analyst within the Regulatory Center of Excellence, you will follow operational procedures to carry out trade controls, sanctions, regulatory, and adverse media screening on all Firm counterparties. In doing so, you will have responsibility for reviewing, investigating, and, where appropriate, escalating screening alerts against OFAC, EU, UN, and other relevant government watchlists. You will play an important role in ensuring accurate, timely alert dispositions and rationales for all alerts while also validating screening results by cross-referencing counterparty information within internal systems and utilizing third-party open-source or vendor platforms.

In carrying out trade controls, sanctions, regulatory, and adverse media screening, you will conduct research and leverage databases, public records, and other sources to assist in the research and adjudication process. You will be expected to handle a high volume of alerts of all types with speed and accuracy and collaborate with other colleagues across the Firm.

Your responsibilities will include conducting reviews of trade controls, sanctions, regulatory, and adverse media watchlist alerts generated by the Firm’s restricted party screening system. You will investigate and analyze potential matches to determine the level of regulatory risk and escalate high-risk cases to the appropriate stakeholders for further review. You will also record detailed investigation steps and provide clear justification for conclusions and decisions while citing underlying sources, you will also deliver prompt and accurate support to relevant Firm groups and stakeholders on findings generated by the restricted party screening system with minimal oversight.

The role involves also developing, tracking, and analyzing key performance indicators (KPIs) related to restricted party screening activities, providing regular reporting to management and stakeholders. It also includes conducting open-source analysis using a variety of research techniques and continuously reviewing and improving sanctions screening processes to ensure they align with evolving regulatory requirements and industry best practices.

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