OFAC Compliance, Screening (CTB List Management/Tuning) - Legal / Taxation / Compliance New York - United States OFAC Compliance, Screening (CTB List  …

à New York, NY, États-Unis
CDI, Plein-temps
Dernière candidature, 10 sept. 19
à New York, NY, États-Unis
CDI, Plein-temps
Dernière candidature, 10 sept. 19
OFAC Compliance, Screening (CTB List Management/Tuning) - Legal / Taxation / Compliance New York - United States
Sanctions Compliance is responsible for ensuring compliance with OFAC, E.U., and other applicable sanctions programs throughout SGUS. This includes reviewing alerts on transactions (second level review) and static data (first level review) for potential matches to the OFAC, E.U., and any other applicable lists and investigating potential matches, reporting blocked property or rejected transactions to OFAC, investigating and drafting Voluntary Self-Disclosures to OFAC, creating and delivering targeted training to SG Employees on OFAC/sanctions issues, providing sanctions-related advisory support to SGUS business units, reviewing the Sanctions Risk Assessment, and coordinating with the Global Head of Embargoes, as appropriate.

This role, which reports to the Deputy OFAC Officer, is responsible for taking the lead/assisting on Change the Bank sanctions screening matters, including, but not limited to:
  • Ensure SGUS's sanctions screening is in line with OFAC/EU and all other applicable sanctions laws and regulations, and supervising tuning associated with upgrade and enhancements that may be required.
  • Oversight of US Technology and Operations teams on issues related to sanctions screening and list management including tuning, analytics and data governance.
  • Liaise with Group Compliance and Technology teams in Paris on sanctions screening issues, including list management, rules and good guys.
  • Recommend opportunities for tuning the sanctions screening lists with rules and good guys, and develop structure for ongoing reviews of interdiction lists.
  • Proactively represent US Sanctions Compliance in all initiatives to implement or upgrade sanctions screening software and additional lists for screening
  • Supervise testing of technology modifications from a user perspective and sign-off on system changes as needed.
  • Execution of enhancements of processes and procedures with a commitment to consistency and successful implementation within the set targets and deadlines.
  • Manage multiple projects and meet timely deadlines.
  • Identify potential screening gaps and develop implementation plans to address them.
  • Develop and prepare key metrics for daily and monthly oversight and reporting to senior management.
  • Assist with coordination of materials for internal and external OFAC/sanctions-related regulatory examinations.

  • All our positions are open to people with disabilities

    Profile Required

    Competencies, Skills and Qualifications :

  • Prior Compliance, Operations or Technology experience, including List Management/Tuning involving FircoSoft.
  • Ability to work closely with technology teams, clearly explaining regulatory needs to system developers and technicians.
  • Ability to work collaboratively and effectively within a complex organization, across multiple cultures, geographies, and disciplines.
  • Ability to balance multiple, changing priorities in a dynamic and fast moving working environment.
  • Employee Specific Job Responsibilities:


  • Bachelor's Degree

  • English

  • Business Insight
    The SGUS Compliance Department monitors the corporate banking, investment banking and broker-dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management. Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker-dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations. The US Financial Crime department is responsible for ensuring compliance with anti-money laundering ("AML"), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations. Additionally, AML oversees key processes and risks of the KYC department.

    Job code: 19000FGK
    Starting date: Immediate
    Date of publication: 01/07/2019