AML Compliance QC Analyst - Surveillance & Investigations

At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application!

What You Can Expect At BBH:

If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever you can. You will have direct access to clients, information and experts across all business areas around the world. BBH will provide you with opportunities to grow your expertise, take on new challenges, and reinvent yourself—without leaving the firm. We encourage a culture of inclusion that values each employee’s unique perspective. We provide a high-quality benefits program emphasizing good health, financial security, and peace of mind. Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage. Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others.

Brown Brothers Harriman is currently recruiting an AML Compliance Quality Control Analyst – Surveillance & Investigations to join our AML Compliance team. The Quality Control Analyst is responsible for ensuring that AML Compliance's activities follow the necessary rules and regulations by providing compliance support and expertise within established guidelines. The Senior Analyst is responsible for identifying and resolving problems in a timely fashion, while considering internal guidelines and outside regulatory requirements.

Specific responsibilities include resolving complex investigations, completing all processes in connection with suspicious activity reporting (SAR), updating policies and procedures when necessary and executing special projects (such as expected activity validation) related to BBH’s surveillance and monitoring program. The Senior Analyst will be responsible for drafting investigative reports with recommendations for appropriate disposition, which are supported by factual evidence and analysis, to Manager. The position operates independently as a trusted advisor to BBH's business lines and is involved with the most complex aspects of the function.

Some of your key responsibilities include: 

Quality Control and Testing

• Conduct testing of the AML Investigations and Suspicious Activity Reports (SARs), and Actimize/ Oracle Surveillance alerts
• Identify gaps or discrepancies in records and processes both for individual analysts and across the team. 
• Recommend and, in coordination with the Program Managers, implement enhancements to the Program and/or QC process itself. 
• Prepares and reviews investigative file documents for AML investigations and Suspicious Activity Reports and coordinates with the AML staff to ensure that items are appropriately documented in the file. This requires that the incumbent have an understanding of the transaction activity (client transaction and trading activity), due diligence, and assessment and analysis in order to ensure the report and supporting documentation accurately and sufficiently evidence the review and recommendation. 
• Must have an understanding of the transaction activity (client transaction and trading activity), due diligence, and assessment and analysis in order to ensure the report and supporting documentation accurately and sufficiently evidence the review and recommendation. 

Reporting and Analysis

• Prepare written summaries of testing results for reporting purposes to firm management committees as well as AML team managers. 
• Prepare and validate monthly metrics and status reports including trends and recommendations for action items. 
• Perform metrics and reconciliation of internal records such as escalations, filings, and alert aging
• Prepare and reconcile KRI metrics specific to RFIs for LOBs

Projects/Operational Work

• Provides support on special projects as needed (ex: regulatory driven projects). Examples include; maintain project records, documenting the status of projects, working with department head to reconcile documentary evidence of projects, etc.
• Assessment of regulatory trend reports as compared to internal data and present to Compliance Teams

Qualifications:

• Strong written and oral communication skills
• Strong organizational and analytical skills
• Capable of executing a range of complex tasks and analyses
• Ability to multi-task and attention detail
• Strong knowledge of Actimize, Oracle or similar transaction monitoring system
• Proficiency with Excel, Word, PP
• Working knowledge of securities markets

Education & Experience:

• BA/BS Degree required. Finance, Economics or Business degrees preferred. 
• 5+ years AML compliance experience preferred

NOTE - this is a fully remote role, but to be eligible candidates must reside in the Central NY/Utica or Pittsburgh area.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Salary Range

UTICA: $65k-$70k base salary + annual bonus target

BBH’s compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck—providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.