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Location: 127 Public Square - Cleveland, Ohio 44114 About the Business KeyBanc Capital Markets, Inc. is a U.S. broker dealer providing securities products and services. KeyBanc Capital Markets (KBCM) is a corporate and investment bank providing capital markets and advisory solutions to companies, in Consumer & Retail, Diversified Industries, Healthcare, Industrial, Oil & Gas, Real Estate, Utilities, Power & Renewables, and Technology verticals. JOB Summary The KeyBanc Capital Markets Inc ("KBCM") Sr. Compliance Officer role will focus on mitigating BSA/AML and sanctions risks to KBCM and its affiliates. Based upon the identification and risk-based assessment of compliance issues, the Sr. Compliance Officer provides responsive and pro-business solutions to assure LOB practices adhere to relevant rules, regulations, and internal policies and procedures. ESSENTIAL JOB FUNCTIONS The Senior Compliance Officer assists in compliance oversight of the Keybanc Capital Markets, (KBCM) AML Program. These responsibilities include: Manage the group mailbox for incoming requests, time sensitive. Perform enhanced due diligence reviews. Respond to requests for brokerage statements for monitoring alerts. Perform monthly reconciliation for USA PATRIOT ACT Perform weekly reconciliation, of accounts opened for high-risk accounts. Perform quarterly review of high-risk incoming wire transfers. Perform monthly reporting for Office of the Superintendent of Financial Institutions, (OSFI) Perform and maintain Foreign Correspondent Bank, (FCB) requirements. Engage with Shared Service Provider for KBCM related relationships. Work closely with the Lines of Business (LOB) - as a BSA/AML subject matter expert Assist with developing AML and related training materials. Assist with procedure updates and development of new procedures. Assist in preparing data requests, responding to regulatory audits, examinations, and investigations. Engage with Centralized Account Opening for account on-boarding, closing accounts, identified issues. Support the AML Officer and KBCM Compliance team in administering their duties related to the firm's AML Compliance Program. Ensure compliance issues are escalated timely. Maintain awareness of emerging issues, bank-wide initiatives, and industry trends to be forward thinking and innovative Knowledge of applicable FinCEN rules and regulations. Stay abreast of regulatory changes. Ongoing required training-annually Provide compliance support on special projects, as assigned. REQUIRED QUALIFICATIONS Education: bachelor's degree, business or will consider applicable industry experience, 5+ years of BSA/AML work experience with emphasis in regulatory compliance and/or risk management. Knowledge of USA PATRIOT ACT Strong verbal and written communication skills with the ability to summarize information. Detail oriented with a risk and escalation mindset. Strong analytical capabilities Ability to effectively prioritize multiple projects in a dynamic environment. Basic knowledge of PowerPoint, Excel, Word Ability to work with sensitive and confidential information. Strong organizational as well as time management skills Effectively communicate with lines of business personnel and senior management both in writing and verbally. Possesses a high ethical standard and moral integrity. PREFERRED QUALIFICATIONS Industry professional certifications e.g., Certified Financial Crimes Specialist, (CFCS), Certified Anti-Money Laundering Specialist, (ACAMS) Intermediate knowledge and experience of U.S. Anti-Money laundering laws and regulations Experience with OFAC/Sanctions broker-dealer banking regulations Experience driven knowledge of Capital Markets in a broker-dealer Working knowledge of process mapping Procedure writing e