An established financial institution is seeking a Compliance & Middle Office Associate. The primary focus of this role is on regulatory compliance, particularly KYC and AML, but the individual will also be involved in a range of middle office functions including credit administration, internal controls, and operations support. This position offers hands-on experience in a collaborative, cross-functional environment.
Key Responsibilities:
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Conduct customer due diligence (CDD), enhanced due diligence (EDD), and periodic KYC reviews
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Support AML transaction monitoring, investigations, and assist with preparing Suspicious Activity Reports (SARs)
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Monitor compliance with U.S. regulatory requirements including BSA, OFAC, and NYDFS guidelines
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Assist with credit administration tasks such as maintaining credit files, monitoring covenants, and coordinating documentation with front office and Head Office
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Help prepare and maintain compliance and credit-related reports and documentation
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Assist in policy and procedure updates for compliance and internal controls
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Support regulatory audits and examinations by gathering materials and preparing responses
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Communicate with Head Office and other internal departments to ensure alignment with regulatory and procedural standards
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Stay current with relevant regulatory developments and internal policies
Qualifications:
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Bachelor’s degree in Business, Finance, Law, or related field
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1–3 years of experience in banking, with hands-on KYC/AML experience required
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Familiarity with U.S. banking regulations (BSA/AML, OFAC, FinCEN, etc.)
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Interest or experience in credit administration or middle office operations a plus
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Strong analytical and organizational skills with attention to detail
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Proficiency in Microsoft Office Suite
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Japanese language skills a plus
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Team player with a flexible and proactive mindset
