- Conduct research over available Bank systems, the Internet, and Commercial Databases consistent with the resolution of case reviews and investigations.
- Review subscription agreements applying jurisdictional and contractual standards
- Review and collect customer due diligence (“CDD”) materials with respect to prospective investors and ultimate beneficial owners
- Create reporting and effectively communicate missing items to Client and work with Clients and/or their counsel to remediate timely
- Document and report the review/investigation findings and prepare case files with required supporting documentation (e.g., media search results, copies of statements/checks, results from internal system searches etc.)
- Draft and file Suspicious Activity Reports (SARs) consistent with FinCEN requirements
- Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.
- Perform KYC reviews