Develop, implement and monitor compliance policies and procedures according to current regulationsReview and approve new accounts including KYC description and supporting documentationCoordinate with the clearing firm’s AML, treasury and relevant branches regarding AML inquiries, and incoming/outgoing wiresFacilitate communication between the clearing/custodian firm and advisors in time sensitive matters such as margin calls/ money due and regulation violationsEnsure compliance with FINCEN, OFAC, & BSA/AML related laws and regulations through weekly and biweekly report updates

• Utilize ACTIMIZE as our cloud based system to facilitate our risk assessment• Review high risk transactions prior to releasing funds• Independently determine if transactions are fraudulent and should be canceled or are legitimate and should be processed and fulfilled• Contact clients in cases of suspicion and/or possible fraud• File Suspicious Activity Report (SAR) as needed per each individual wire transfer• Analyze transaction, paperwork, and signatures to deem it legitimate for release of funds• Escalate fraud scenarios to the correct law enforcement authority • Analyze reports to identify fraud and scam trends and present to multiple teams such findings

• Provide attentive customer service to clients and representatives• Exercise adequate phone etiquette • Assess and resolve client issues pertaining to wires, deposits, transfers, checks and/or account issues• Educate business partners and clients of the necessary documents for specific transactions• Ensure policies are adhered to by both, representatives and clients• Maneuver through multiple software systems for the successful creation and completion of monetary transactions such as but not limited to: deposits, check orders, incoming and outgoing wires, ACH transfers, check voids, international transactions etc.