Do you have a strong understanding of AML/ OFAC regulations? Are you someone who is interested in identifying risks and offering and implementing suggestions that enhance the workplace?

• The role of the Client Lifecycle Concierge (CLC) is to ensure that the firm and its employees conduct business in accordance with federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other governmental agencies, self-regulatory organizations and internal policies and industry best practices.

• The CLC owns and drives the front to back client onboarding process to reduce back and forth with front office/client as well as the overall timeframe to open a new client relationship within US Wealth Management

• Provides Know Your Customer (KYC) subject matter expertise in onboarding various client types that may be of higher risk or more complex

• Engage and partner with the Financial Advisor team through the onboarding process to ensure that the required client information is gathered and documented

• Drive cross-functional meetings across stakeholders (Front Office, Business AML Organization, and Financial Crime Prevention) to ensure all onboarding requirements are fulfilled as early as possible in the lifecycle and reduce process inefficiency

• Monitors and drives the service level agreements (SLAs) for the in-scope client onboarding and escalates as Red Flags are identified for appropriate review

• Identify key risks in the current client lifecycle management process and recommend strategies to for future state design to mitigate AML risks while operationalizing efficiency levers.

• Experience with applicable laws, rules and regulations pertaining to BSA/AML statutory and non-statutory requirements, including, Bank Secrecy Act, PATRIOT Act, FFIEC Examination Manual, FinCEN CDD Rule, etc.

• Prepare and present key performance metrics to management

• Communicate effectively across all levels of the organization, with ability to influence and challenge key decision makers, peer groups, internal service providers and functions outside direct control

• Routine interaction and collaboration with Financial Advisors, Branch Management, Business AML Organization (BAMLO), Risk, Compliance and Legal regarding the questions or issues with client account opening and periodic know your client reviews (PKRs).