About Rockefeller Capital Management

Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $151 billion in client assets as of December 31, 2024.

Position

The AML Associate plays a crucial role in supporting the organization's efforts to detect, prevent, and report money laundering activities and ensure compliance with AML and sanctions regulations. The role will also support initiatives focused on scaling AML processes and enhancing technology solutions to enable growth. This position is ideal for a compliance professional with a strong understanding of financial crime compliance, experience supporting AML operations, and a proven ability to drive cross-functional projects that improve efficiency and effectiveness.

Responsibilities

Conduct reviews relevant to all aspects of the Rockefeller Capital Management AML and Sanctions Program, including but not limited to transaction monitoring, customer due diligence, and OFAC/sanctions compliance.
Review and analyze alerts generated by the Firm's transaction monitoring system and OFAC/Sanction real-time transaction alerts, and identify and escalate suspicious transactions and customers who may pose a risk to the Firm.
Conduct customer due diligence/enhanced due diligence reviews for new and existing customers.
Complete investigations of activities that may require a reporting obligation.
Create team training programs, draft standardized team policies and procedures documents, and assist with developing scalable AML frameworks and controls to support business growth.
Collaborate with Technology partners to identify and implement solutions to streamline and automate processes, improve operational efficiency, and enhance data integrity.
Work closely with cross-functional partners, including Compliance, Legal, Technology, and Operations, to ensure a coordinated approach to AML and sanctions compliance efforts.

Qualifications

Bachelor's Degree required.
3-5 years of experience in reviewing customers and customer transactions for potentially suspicious activity and performing AML-related investigations using automated AML monitoring software (Actimize Essentials experience is a plus).
Knowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and FinCEN/SAR requirements is preferred.
Securities background within Wealth Management is preferred.
Experience with compliance technology platforms (Actimize or similar).

Skills

Excellent research skills, including online research tools (LexisNexis and/or WorldCheck is a plus).
Strong writing, analytical, decision making/problem solving, and communication skills.
Proven ability to manage multiple priorities in a fast-paced environment.
Exceptional organizational and time management skills.
Strong technical acumen.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics").

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.

Rockefeller Capital Management

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