Compliance Testing & Monitoring – Financial Crimes Tester

 New York - United States, United States       Permanent contract        Legal / Taxation / Compliance


The candidate will be responsible for conducting Financial Crimes Compliance (“FCC”) compliance testing to assist in satisfying the annual AMT FCC (BSA/AML/OFAC/Sanctions) testing plan.


Day-to-day responsibilities will include:


  • Performing research and gathering information sufficient to understand the process or controls to be tested and applicable regulations
  • Performing planning, scoping and sampling activities related to test reviews, including developing test steps/scripts
  • Executing testing, including documenting, assessing and reporting testing results
  • Working closely with, and communicating testing progress to, the FCC/AML Testing Manager
  • Identifying, communicating and escalating issues as appropriate, including ensuring that corrective action plans adequately address risk and are completed on time
  • Communicating with stakeholders throughout the review process, including obtaining information as necessary to complete testing

All our positions are open to people with disabilities

Profile Required


  • Prior experience in a testing role within Compliance Testing or Internal Audit, preferably in a BSA/AML/OFAC capacity
  • In depth understanding of rules, regulations and best practices relating to BSA/AML/OFAC
  • Strong attention to detail
  • Strong analytical, problem-solving and organizational skills
  • Ability to work independently
  • Ability to prioritize responsibilities, and complete deliverables and tasks in a deadline-focused environment
  • Ability to operate in, and adapt to, a dynamic environment while learning new processes/tools quickly and efficiently
  • Excellent oral and written communication skills, including the ability to communicate well across all levels of an organization



  • BSA/AML/OFAC/Sanctions related certifications, such as CAMS, CFE
  • Advanced knowledge of MS Office, including MS Word, MS Excel and MS PowerPoint



  • Minimum of 5-7 years of experience in a large financial services firm, with:
    • 3-5 years of  Compliance Testing or Audit experience; and
    • 3-5 years of experience working in the field of BSA/AML/OFAC



  • B.A./B.S. required



  • French a plus but not required

Business Insight

The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management.  Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations.  The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations.  Additionally, AML oversees key processes and risks of the KYC department.

Job code: 19000BXF
Business unit: SG CIB
Starting date: Immediate
Date of publication: 17/08/2019
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Compliance Testing & Monitoring – Financial Crimes Tester

Permanent contract   |   New York - United States   |   Legal / Taxation / Compliance