AML Compliance Specialist

Greensboro, North Carolina 27401

Posted: 12/09/18 Category: IT Quality Assurance Job Number: 7274

Position: AML Compliance Specialist
Location: Greensboro, North Carolina
Local: Local Only
Interview Expectations:  Unspecified
Required Skill Set: 3-5+ years of experience within the insurance or financial services industry.

Job Description
? The AML Compliance Specialist supports and conducts and documents investigations of suspicious incident referrals (SIRs). In addition, he/she is responsible for the review of various anti-fraud and market conduct trend analyses, the investigation and resolution of automated AML alerts, responding to investigation requests from regulators and law enforcement agencies, and developing and disseminating AML.

  • Record and monitor suspicious incident referrals received via internal and external sources, including information reported.
  • Conduct investigations into suspicious producer conduct and report findings to the applicable distribution channel management.
  • Assess the fraud and anti-money laundering risks associated with the reported suspicious incident.
  • Perform basic reviews of assigned area(s) of responsibility operating practices and administrative procedures to determine if they are within the company and regulatory requirements.
  • File and log mandatory Suspicious Activity Reports and State Fraud Reports independently or upon receiving direction from other team members.
  • Create, review and maintain database/spreadsheets for metrics. Suggests enhancements as needed.
  • Provide support in the monitoring of life and annuity transactions to identify suspicious activity.
  • Provide support in comparing government watch lists to company data.
  • Ensures integrity of all documentation produced.
  • Coordinate and gather information and documentation in response to suspicious incidents, regulatory and internal audit requests.
  • Works with appropriate internal stakeholders to document investigations to completion.
  • Independently carry out all tasks and assignments in an accurate and timely manner.
  • Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
  • Remains current in profession and industry trends.
  • Makes a positive contribution as demonstrated by:
  • Making suggestions for improvement
  • Learning new skills, procedures and processes.
  • Successfully completes regulatory and job training requirements.
  • Ability to perform under stress in cases of emergency, critical or hazardous situations.
  • Ability to work with others in a team environment.
  • Performs other duties as required.


  • Undergraduate degree or 4+ years of comparable work experience
  • FINRA 7 required within 6 months of hire date.

  • 3-5+ years of experience within the insurance or financial services industry.
  • Demonstrated knowledge of insurance and/or securities products and operations.
  • Demonstrated knowledge of compliance laws and regulations.
  • Ability to maintain confidentiality.
  • Read and interpret documents such as policies, product specifications, and standard operating procedures.
  • Excellent verbal and written communication skills.
  • Ability to pick up on non-verbal cues.
  • Ability to express complex concepts in an understandable way.
  • Comfortable speaking in front of groups, with solid presentation skills.
  • Apply concepts such as fractions, percentages, ratios and proportions to practical solutions.
  • Define problems, collect data, establish facts and draw valid conclusions.
  • Evaluates trends in analytical data.
  • Thinks independently and is an effective decision maker.
  • Adapts to change, is open to new ideas, takes on new responsibilities, handles pressure and adjusts plans to meet changing needs.
  • Exhibits high levels of integrity, ethical behavior and professional maturity.
  • Exhibits high degree of motivation.
  • Exhibits the ability to navigate the organization, operating within the organization’ s formal and informal structures.
  • Organize and prioritizes work effectively. Must be able to work under tight deadlines while handling multiple projects.
  • Exhibits high degree of flexibility while able to adjust to shifting priorities and be a team player.
  • Attention to detail and analytical skills required.
  • Strong problem solving and system troubleshooting abilities.
  • Computer skills: Microsoft Office Suite (Word, Excel, PowerPoint & Outlook)

James Henry
Technical Recruiter

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