Compliance Officer -AML Trade Finance

New York, NY

Job Function:


1 – New client on- boarding & KYC monitoring:

  • Upon receipt of KYC opinion from OPER/KYC, analysis of High and Med-High risk files during on-boarding and review including the issuance of a Compliance opinion.
  • Escalation to SEGL/CFT/SFG of High Risk files (except for punctual or one shot deals)
  • Management of FCU Opinion passporting with other Local TCF Compliance Officers, when multiple places are involved/requested at On-boarding.
  • Preliminary Opinion given on sensitive files upon request of local NAT/TCF/DIR.
2 – Transaction approval
  • Advice on transactions upon request by FO/MO and BO as well as transactions involving countries subject to sanction & embargoes when the case faced is out of the scope   of the procedure Sanction & Embargoes dedicated to TCF or when researches managed by FO/MO/BO raise a HIT after the due diligence made by FO/MO/BO.
  • Review of credit application from a financial crime and embargoes/sanctions perspective when risk is identified and upon request of local NAT/TCF/DIR.
  • Participate to credit committees on files where a decision of compliance is being sought
  • Review of cases that involve an increased reputation risk and follow the reputation risk process
3 – Execution & payments
  • Assist Front Office and OPER (Middle-office and back-office teams)   on HITS raised during the life-cycle of transactions when FO/MO/BO can’t determine the accuracy of the HIT throughout the process of investigation in :
  • Analyzing the Red Flags
  • Analyzing the Sanction & Embargoes issues
  • Analyzing the question or Hits raised by FORCES team or external demanders (Banks, Regulators, Auditors)
4 – Compliance control/awareness
  • GPS: Perform spot checks to assess the quality of the set-up on the operational controls.
  • Remediation of Issues : Define in partnership with GLFI/OPER the action plan when needed and participate in its implementation.
  • Gather market intelligence and cascade to OPER and TCF teams information and relevant impacts for TCF business.
  • Propose and organize compliance trainings for FO/MO/BO focused on TCF Business.
  • Formalize an annual mapping of compliance risks (front to back) and their evolution for each platform, define and participate in the action plan.
  • Participate to the Worldwide FCU Committee dedicated to TCF purposes.  


  • 7+ years of experience across a wholesale/ investment bank and / or law firm with focus on regulations or compliance.
  • Bachelors Degree
  • Excellent written and oral communication skills and research skills.
  • Ability to understand complex regulations and explain impact to business and support personnel throughout the Firm.
  • Ability to work collaboratively within a complex organization, across multiple cultures, geographies, and disciplines.
  • Ability to balance multiple, changing priorities in a dynamic and fast moving working environment.
  • Strong ability to partner with business lines, Operations and other stakeholders.
  • Strong time management skills and the ability to work well under pressure
  • Ability to spot issues, and address conflicts and escalate issues where appropriate
  • Excellent problem solving and time management skills
  • Ability to manage multiple tasks with rapidly changing priorities

Contact Details:

Steven Cebel

914-524-0301 ext 126