Compliance Analyst - Anti-Money Laundering

Piper Sandler & Co.

Minneapolis, MN

JOB DETAILS
LOCATION
Minneapolis, MN
POSTED
30+ days ago

Description

Piper Sandler is a leading middle market investment bank firm serving clients in the U.S. and internationally. The Firm is a leading financial advisory and capital markets firm that wins through deep sector expertise, candid advice and a differentiated, highly productive culture - enabling growth and success for our clients as well as rewarding careers for our employees.

We are currently seeking a Compliance Anti-Money Laundering (AML) Analyst. This position will report to the Chief AML Officer and will support key Business and Compliance initiatives by working closely with all areas of the organization in furtherance of the Firm's AML program. The Compliance Department is an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control.

Responsibilities:

  • Assist the AML team in conducting surveillance and account reviews
  • Collaborate with the AML team in identifying potential risks and determine how to mitigate
  • Assist the Investment Banking group with general inquiries and conduct client screening
  • Work with the Global Middle Office as new accounts are opened that may present AML risk factors
  • Communicate with our partners in Operations in the ongoing testing and ad hoc issues related to the customer identification program
  • Participate in the annual AML risk assessment update process
  • Work with our client screening vendor to ensure data feeds are working properly and complete the review and distribution of information returned from the vendor
  • Participate in the development of annual AML training and targeted training courses
  • Identify potential issues through compliance testing and analysis
  • Assist with reviews, employee questionnaires and training related to the anti-bribery program
  • Other duties as needed

Basic Qualifications:
  • Bachelors' degree required - Business, Finance, or other relevant field
  • Years of Experience: 1-5 years of relevant experience
  • Strong technology skills: Excel, Access, Word, Tableau

Preferred Skills / Experience:
  • Series 7 and 63 securities license or ability to obtain
  • Ability to interact effectively across departments for effective collaboration
  • Ability to prioritize and meet deadlines in a fast paced environment
  • Ability to be solution oriented with strong problem-solving skills