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Due Diligence Analyst

New York, NYACG Resources

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Due Diligence Analyst


The primary purpose of this position is to review, assess, and validate customer records to aide in the detection of possible money laundering, terrorist financing, and fraud using risk-based approach methods while ensuring compliance with the Bank’s established BSA/AML program.


* Review KYC for completeness and accuracy as part of customer validation in order to assess and document the risks associated with that customer.

* Identify and address items through day-to- day assignments to ensure the bank’s KYC and CIP standards have been met.

* Ensure ongoing due diligence efforts and KYC are maintained while identifying substantive changes to customer profiles.

* Perform AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank's policies and procedures.

* Review and resolve EDD Verifier alerts; escalate findings to Manager when appropriate.

* Perform searches utilizing Internet sources and/or third-party vendors (i.e. Google, Lexis Nexis and/or World Compliance) to determine negative news and obtain due diligence information for prospects and new/existing customers.

* Respond to daily inquiries from peers, front-line and management regarding KYC/CIP and due diligence matters, when appropriate.

* Communicate effectively with peers, front-line and management when requesting

information or documentation and addressing concerns or findings.

* Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner.

* Thoroughly document findings by preparing reports in a manner that is clear and

comprehensible to BSA supervisors/managers, internal auditors and regulatory


* Report and escalate all concerns or negative findings clearly and objectively to


* Interact with bank examiners, internal auditors, and compliance personnel during BSA and AML related audits, if necessary.

* Complete all job-related training in a timely manner and attend seminars or continuing education, as directed.

* Perform any other assignments as directed by Manager.

* Prepare and draft presentations/reports, as needed.

* Actively participate in team meetings.

* Actively assist the Manager in special projects that are both system related or involve special investigations or reviews.

* Maintain close working knowledge of special projects, investigations or reviews and advises Manager of their progress and any matters of concern.


* College degree preferred.

* At least 7 years banking experience, with emphasis on BSA Compliance and due

diligence in accordance with KYC, CIP, AML/BSA guidelines


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