The Compliance Analyst is responsible for the day-to-day administration of Carlyle's ongoing global AML/KYC diligence and monitoring program. Among other things, key activities include (i) reviewing documents required for identity validation; (ii) conducting database screening searches and reviewing and escalating any search results generated from such screening, (iii) completing the related documentation and data entry required in accordance with Carlyle's AML policies and procedures, (iv) conducting training regarding AML/KYC matters, and (v) responding to AML/KYC questionnaires or inquiries and assisting with AML/KYC regulatory filings required by local regulators. Additionally, the Compliance Analyst supervises and acts as a point of contact with respect to Carlyle's AML/KYC outsourcing arrangement with ACA Compliance Group. Ultimately, the Compliance Analyst is expected to become the departmental subject matter expert with respect to Carlyle's AML/KYC policies, procedures, and practices. Consequently, the Compliance Analyst also will play a key role in participating in department and firm projects that implicate the AML/KYC program. The ideal candidate must be able to prioritize multiple tasks, work with a team and work in a deadline-oriented environment. The Legal & Compliance department is based in Washington, D.C. under the direction of the firm's General Counsel and Global Chief Compliance Officer and is comprised of lawyers and compliance personnel in Washington, D.C., New York, London, Luxembourg and Hong Kong.
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Knowledge and Experience
Minimum of 3-5 years of relevant experience required.
Experience in a legal, banking, broker dealer, regulatory, private equity fund, hedge fund or asset management firm is highly desirable.
Strong preference for candidates with experience with anti-money laundering and KYC onboarding activities and knowledge of relevant rules applicable to financial services firms.
Strong project management skills and ability to multi-task and work across multiple groups in demanding, fast-paced environment.
Service-oriented: ability to balance regulatory and policy standards along with a business perspective
Superior work ethic, strong organizational skills and attention to detail
Excellent communication skills - both verbal and written
Flexibility to juggle multiple and changing priorities
Resourcefulness in executing projects
Collaborative/teamwork approach and skills a must
Bachelor's Degree required
CAMS certification required (will be given time to obtain)
Position Specific Technical Requirements:
Any or all of FINRA Series SIE, 7 or 82, and Series 24 licenses a plus
Strong computer and Internet research skills
Excellent Microsoft Office skills (including Outlook, Word, Excel, and PowerPoint) and Adobe Acrobat skills
Confidence interacting with all levels of professionals
Be able to respect highly confidential information and work in a confidential environment
Play a lead role in administering Carlyle's global AML/KYC processes, including by coordinating with relevant internal stakeholders and service providers supporting such processes;
Review investor onboarding materials for AML and KYC due diligence, and maintain relevant books and records;
Conduct database screening searches and review and escalate any search results generated from such screening;
Conduct training regarding AML/KYC matters;
Manage compliance-related IT projects, primarily related to enhancing anti-money laundering processes;
Acts as a point of contact with respect to Carlyle's AML/KYC outsourcing arrangement with ACA Compliance Group, and any other AML/KYC-related service arrangements;
Assist other Carlyle U.S. and non-U.S. AML officers with various tasks, such as regulatory reporting, responding to inquiries, etc.;
Maintain applicable policy documentation under the supervision of lawyers;
Monitor regulatory developments related to AML/KYC and other regulations;
Develop and implement knowledge management best practices; and
Other duties as needed and assigned.
The Carlyle Group (NASDAQ: CG) is a global investment firm with $246 billion of assets under management and more than half of the AUM managed by women, across 397 investment vehicles as of December 31, 2020. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 1,800 professionals operating in 29 offices in North America, South America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation.