Senior Associate, Compliance (Investigations) at Gemini
The Department: Compliance
Compliance at Gemini is a team dedicated to managing the next generation of financial crime prevention in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.
The Role: Senior Compliance Associate, Investigations
In this role, you will work with a team of experienced investigators responsible for critical functions within the Compliance and the AML/BSA/Sanctions program. You will have responsibilities including, but are not limited to, performing Level 3 analysis and adjudication of escalated alerts, preparation of Suspicious Activity Report (“SAR”) filings, drafting subpoena responses and analysis, leverage intelligence gained from business-as-usual activities to develop enhancements to the Compliance program and other critical components/development of the compliance program that may arise from time to time. This position will have frequent interaction with firm senior management, third party vendors/auditors, and the Director of Investigations.
Gemini’s Compliance team is constantly evolving and developing new operations and controls. In this role, you will contribute to that development, while being an integral part of the Investigations Team.
- Manage and respond to subpoenas, law enforcement and regulatory requests, including occasional contact with law enforcement agents by phone or email.
- Conduct investigations of customer activity to determine whether such activity warrants reporting.
- Draft and prepare SAR filings.
- Gather information from different workstreams and sources to develop typologies and recommendations for control enhancements.
- Conduct customer outreach to gather additional information regarding customer activity.
- Balance numerous projects, queues and priorities in a fast-paced environment.
- BA/BS degree or international equivalent.
- 4-5+ years of relevant work experience within the financial services, law enforcement, digital asset services, and/or management consulting space focusing on financial crime and/or compliance.
- Comfort in a technology-forward company and facility with computer and web-based applications, including Microsoft Office, case management systems, and web-based databases.
- Substantial writing skills and ability to articulate effectively to senior management.
- Authorization to work in the United States and fluency in English.
- Advanced degree/certifications, e.g., JD, MBA, CAMS, CFE.
- Advanced knowledge of regulatory expectations and industry standards in relation to AML/BSA/Sanctions regulations.
- Experience drafting and preparing SAR filings.
- Familiarity with subpoenas and the lifecycle of different law enforcement investigations.
- Familiarity with virtual currencies, digital transaction cycles or blockchain tracing/analytics tools.
- Intermediate-level expertise in Microsoft Excel.
- Comfort with an ever-changing regulatory and business environment.