Financial Crime Risk Assessment and Controls Associate

Job code: 18000TPF
Date of publication: 2019-01-12 00:19:50.0
Starting date
Job function
Legal / Taxation / Compliance
Business unit
New York - United States
Job type
Permanent contract


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.


Responsibilities include, but are not limited to:

  • Assist in conducting the AML and OFAC Risk Assessments including collecting and analyzing customer and transaction/activity data, coordinating with business and control group stakeholders, and identifying areas where controls may need enhancement, among other actions.
  • Draft reports on the results of the Risk Assessments which are clear, concise, and provide value to management.
  • Track Action Plans that arise from the Risk Assessments to completion, including liaising with key stakeholders such as Business Line COOs and members of the Financial Crime Compliance and Cross Business Client Management teams.
  • Work with key stakeholders in Compliance and support functions on the development, enhancement, and modification of Financial Crime-related controls.
  • Track results of control performance, including creation of action plans and reporting, and escalate results to senior management.
  • Responsible for the completion of the AML/OFAC-related special projects, including deliverables to regulators.


  • Strong attention to detail.
  • Strong proficiency in Microsoft Excel.
  • Excellent research and analytical skills.
  • 2-3 years experience in the financial crime compliance industry.
  • Strong interpersonal, written and verbal communication skills.
  • Knowledge of current anti-money laundering requirements, including the Bank Secrecy Act and USA PATRIOT Act, and OFAC/Sanctions requirements preferred.
  • Ability to balance multiple priorities in a fast moving and demanding environment.

Employee Specific Job Responsibilities:

  • Bachelor’s Degree
  • English
  • French (preferred)
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