Ultimus Leverpoint is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
Senior Oversight Specialist
Location
United States
Posted
65 days ago
Salary
$55K - $85K / year
Seniority
Senior
No structured requirement data.
Job Description
Senior Oversight Specialist
Ultimus Fund Solutions
Role Description The Senior Oversight Specialist is responsible for ensuring the organization’s compliance with all applicable anti-money laundering (AML) laws and regulations. Additionally, this role involves monitoring, analyzing, and reporting on AML data such as identifying suspicious patterns, and implementing strategies to mitigate fraud risks. - Detects, investigates, and prevents fraudulent activities within the organization. - Performs identity verification review on new account shareholders, authorized signers, and beneficial owners, to satisfy Know your Customer ‘KYC’ and ‘AML Policy’ requirements. - Conducts comprehensive reviews on all politically exposed person (PEP) and OFAC/various watchlist alerts. - Requests supplementary documentary evidence from those persons who do not immediately pass KYC verification and updates account accordingly. - Reviews various reports to evaluate and monitor transactional activity to identify potential suspicious activity. - Performs manual “real time” KYC identity verification for requests submitted by related departments. - Reviews account activity and provides timely responses to Red Flag submissions; records suspicious activity, including shareholder personal information, in various internal watchlists. - Adheres to designated timelines and procedures to ensure timely and accurate completion of tasks. - Attends training and provides guidance to associates on fraud detection and prevention techniques. Raises awareness of fraud risks and promotes a culture of vigilance. - Assists with identification, organization, and dissemination of archived materials to support completion of SOC1 and annual AML audits. - Assists with client conversion data reviews and department clean-up projects, as needed. - Assists with production and quality control review of quarterly client AML certifications. - Conducts a bi-weekly FinCEN processing and quality control review; reports any “positive hits” to AML Manager and AMLCO; provides certifications to clients. - Conducts a quarterly OFAC processing and quality control review; reports any “positive hits” to AML Manager and AMLCO. - Processes monthly Lexis Nexis invoices to Accounts Payable in a timely manner. - Creates extensive written team procedures and maintains in Knowledge Management System (KMS) database. - Assists with Lexis Nexis administration role to maintain user access status, establish new users, etc. Qualifications - Bachelor’s degree in finance, law, business administration, or a related field. - 3-5 years of experience in AML compliance and fraud detection, preferably within the financial services industry. Requirements - Bank Secrecy Act (BSA), Anti-Money Laundering (AML)/Terrorist Financing, Customer Identification Program (CIP), Know Your Customer (KYC), Office of Foreign Asset Control (OFAC) regulatory and program requirements. - Effective internet search techniques. - Microsoft Office Suite, with demonstrated experience in Excel, including pivot tables, macros, filtering, and sorting. - Adobe Acrobat. Skills and Abilities - Prominent level of accuracy and diligence. - Strong ethical standards in professional conduct. - Adapts to changing regulatory environments and business needs. - Manages sensitive information with discretion. - Aligns associates with company values and goals. - Plans and delegates the work of others. - Motivates and inspires others. - Assesses the performance of self and associates to make improvements or take corrective action. - Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures. - Troubleshoots issues utilizing creative and critical thinking skills. - Multitasking, analytical, and organizational skills. - Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness. - Demonstrates and exercises personal integrity, responsibility, accountability, and good judgement. - Effectively uses resources such as time and information in conjunction with associates. - Participates in solving problems and making decisions. - Presents and expresses ideas and information, written and oral, clearly, and concisely. - Actively listens to others to achieve understanding and supports an open exchange of ideas and information. - Identifies needs, arranges for, and obtains resources to accomplish individual and department goals. - Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations. - Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion. - Equivalent education, experience, and KSA’s will be considered. Company Description Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
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We guide our customers through the health care system, empowering them with the information and insight they need to make the best choices for improving their health and vitality. Join us in driving growth and improving lives. Qualified applicants will be considered without regard to race, color, age, disability, sex, childbirth (including pregnancy) or related medical conditions including but not limited to lactation, sexual orientation, gender identity or expression, veteran or military status, religion, national origin, ancestry, marital or familial status, genetic information, status with regard to public assistance, citizenship status or any other characteristic protected by applicable equal employment opportunity laws. If you need a reasonable accommodation to complete the online application process, please email seeyourself@thecignagroup.com for assistance. 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Please note that this email inbox is dedicated to accommodation requests only and cannot provide application updates or accept resumes. The Cigna Group has a tobacco-free policy and reserves the right not to hire tobacco/nicotine users in states where that is legally permissible. Candidates in such states who use tobacco/nicotine will not be considered for employment unless they enter a qualifying smoking cessation program prior to the start of their employment. These states include: Alabama, Alaska, Arizona, Arkansas, Delaware, Florida, Georgia, Hawaii, Idaho, Iowa, Kansas, Maryland, Massachusetts, Michigan, Nebraska, Ohio, Pennsylvania, Texas, Utah, Vermont, and Washington State. Qualified applicants with criminal histories will be considered for employment in a manner consistent with all federal, state and local ordinances.

