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The AML - Client Intelligence Unit (CIU) Customer Due Diligence (CDD) Analyst II holistically reviews high-risk clients from a risk-based approach. The AML-CIU CDD Analyst II conducts surveillance reviews to identify potential high-risk transactional activity, Politically Exposed Persons (PEPs) reviews, sanctioned individual reviews, negative news/ derogatory information reviews, potential Office of Foreign Assets Control (OFAC) match reviews, beneficial ownership reviews, Marijuana Related Business (MRB) reviews, and new foreign account reviews. The role is also responsible for working with the Customer Identification Program (CIP) process to ensure the client's identity adequately satisfies CIP requirements.
The Compliance Analyst I - Branch Activities establishes and maintains open lines of communication and acts as a contact point for branch office locations to assist with applicable Firm policies and/or procedures and regulatory rules. The Analyst I conducts branch examinations and follow up in compliance with FINRA Rule 3110 and is responsible for a working knowledge of both Stifel and affiliated Firms' policy manuals and applicable updates.
