Homrich Berg ("HB") is a leading fee-only financial planning and investment advisory firm located in Atlanta, GA. Established in 1989, HB’s employees provide comprehensive financial planning and investment management services primarily to high-net-worth individuals. 

This is a newly created position to support our Risk team with a new AML program. This role is an individual contributor reporting to the Chief Risk Officer. This is an excellent opportunity for someone who is a self-starter.  

Role Qualifications

• BSA/AML/OFAC/KYC risk management experience including development and implementation of tools to assess effectiveness of controls; conducting or supervising research and investigations in a field related to CIP, Sanctions, Enhanced Due Diligence, Fraud, Anti-Money Laundering, and experience analyzing large amounts of data
• Strong knowledge of BSA/AML/OFAC/KYC compliance and processes, and applicable techniques for implementation of regulatory, compliance and legal requirements
• Highly organized, excellent follow-through, and the ability to manage multiple projects and deadlines
• Strong communication skills (written and verbal) with the ability to effectively interact with all levels of the organization
• Knowledge of BSA/AML technology and ability to work closely with vendors/IT to implement a monitoring program
• Ability to respectfully challenge views, processes and behaviors while fostering a collaborative, consultative and solutions-focused approach
• High level of professionalism, self-motivation and sense of urgency with initiatives

Responsibilities:

• Serves as subject-matter-expert within AML/BSA Compliance to build the AML program
• Designs, develops and operationalizes AML programs, policies, controls, reporting and training 
• Designs and performs an enhanced due diligence, risk based approach for client transaction monitoring.
• Monitors and analyzes transactional data for suspicious activities, unusual patterns, and potential violations of BSA/AML and OFAC regulations, and communication with business partners
• Investigates alerts generated by transaction monitoring systems, including conducting research, gathering documentation, and making recommendations for further action
• Prepares and files Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) as required by regulatory authorities
• Stays abreast of changes in BSA/AML and OFAC regulations, as well as industry best practices, and ensures policies/procedures/training documents are up-to-date
• Assists the CCO and/or CRO with the administration of the Securities and Exchange Commission (SEC) investment adviser compliance program
• Provides support to the compliance program with the ongoing monitoring, reporting and testing of the SEC Compliance program to make modifications that will prevent, detect and correct securities laws violations and mitigate risks to the firm
• Conducts weekly email reviews to ensure compliance with the Books and Records Rule 204-2(a)(7) 
• Support the administration of the firm's Code of Ethics through an automated compliance monitoring system. This includes monitoring employee personal trading, new hire compliance documentation and quarterly and annual Code of Ethics Reporting
• Provide support in maintaining Compliance management tools and systems, risk logs, risk matrix, etc. 
• Participate in ad-hoc requests, special projects, regulatory exams and/or other duties as assigned 

• Bachelor’s degree required; business-related field preferred; CAMS or ACAM certification preferred
• At least 3-5 years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
• Experience with Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Know Your Customer (KYC) and Office of Foreign Assets Control (OFAC) regulations including the USA PATRIOT Act
• Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
• Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues.
• Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations