Introduction

Promontory Financial Group (“Promontory”), an IBM Company, is a global leader in strategy, risk management, and compliance consulting. Promontory excels at helping clients resolve critical issues, particularly those with a regulatory dimension.

Our unique domain expertise, combined with IBM’s world-class technology, allows us to resolve challenging national and cross-border issues in banking, securities, commodities, financial instruments, markets, digital assets, and insurance.

Promontory professionals have unparalleled regulatory experience and insight, and provide our clients with frank, proactive advice informed by best practices and regulatory expectations.

Promontory is a leading strategy, risk management, and regulatory compliance consulting firm focusing on the financial services industry. Our professionals, with deep expertise gained through decades of leadership at regulatory bodies, Fortune 100 corporations, and consultancies, help entities understand and implement global and national financial services regulation and risk and governance practices, and operate effectively. Your Role and Responsibilities

PRINCIPAL RESPONSIBILITIES:

Promontory is seeking an Associate with experience in in Anti-Money Laundering/Bank Secrecy Act (AML/BSA), Sanctions, Anti-Bribery and Corruption (ABC), and Fraud to join its Financial Crime Practice Group. As a Promontory Associate, you will have a unique hands-on experience in business development, client work, and other projects. You will be challenged to develop your knowledge in our areas of expertise and our client’s business issues while building your skills in communications, problem solving, and consulting. Associates in Promontory’s Financial Crimes Compliance Practice Group are responsible for providing advice and counsel to clients, including with respect to AML/BSA compliance, governance, regulatory requirements, and strategic decisions. Key roles and responsibilities include the following:

• Review and analyze client written materials, such as frameworks, policies, procedures, methodologies, and governance artifacts.

• Assist in drafting and revising client deliverables—including reports, correspondence, presentations, and written tools such as policies, procedures, and templates.

• Contribute to solving client challenges, developing practical solutions, and influencing client perspectives.

• Develop and lead project activities

• Play a hands-on role in business development, such as by helping to draft proposals and participating in meetings with current or potential clients.

• Participate in client meetings, such as interviews or presentations, which often include senior executives or directors of the client.

• Analyze legal or regulatory requirements, including as developed through administrative or judicial proceedings.

• Monitor and prepare reports on global regulatory developments.

• Travel as required to client sites in the United States and internationally.

• Time spent traveling ranges from 25% to 75%, depending upon the project.

If you are hired into a Colorado work location, the anticipated compensation range for the position $85,000 to $131,000 is based on a full-time schedule. Your ultimate compensation may vary depending on your job-related skills and experience. For part time roles, the compensation will be adjusted appropriately.

Required Technical and Professional Expertise

KNOWLEDGE, SKILL AND ABILITY REQUIREMENTS:

• At least 5+ years of demonstrated experience in a financial service compliance, quality assurance leadership, or senior-level audit role.

• Minimum 2 years of supervisory/managerial experience in an FIU or similar environment.

• Strong background and understanding of AML, BSA and OFAC regulatory compliance, financial concepts/issues, with the ability to translate into documented procedural and training content.

• Working knowledge of various laws, regulations, and industry guidance that affect internal and financial institutions’ compliance programs.

• Thorough understanding of quality assurance methodologies, sampling regimens, and feedback workflow diagrams through multiple layers of work streams, customer segments, geographies, and/or client business units.

• Experience evaluating enterprise-level quality programs and mapping external client expectations against enacted plans and scoring methodologies.

• Experience evaluating Customer Identification Program (CIP), Enhanced Due Diligence (EDD) and KYC profiles.

• Familiarity with various AML case management databases, transaction monitoring systems, Customer Risk Unit standards, and commercial research repositories.

• Experience writing business requirements, concise communication with executive leadership stakeholders both internally and externally, and familiarity with composing procedures and/or policy documents.

• Highly influential communicator, both verbal and written, with strong presentation and leadership skills required.

• Demonstrate a strong sense of urgency by responding immediately to escalated issues and rapidly changing priorities.

• Strong attention to detail, critical thinking skills and an analytical orientation.

• Demonstrated ability to assign, direct, delegate, and complete assigned tasks in support of complex initiatives.

• Excellent proficiency in Microsoft Office products, familiarity with legal documentation and contract analysis, and advanced aptitude in Microsoft Excel.

Preferred Technical and Professional Expertise

• Ability to deal with highly confidential information in a professional manner.

• Excellent computer skills; proficiency in Microsoft Office products.

About Business Unit

IBM Consulting is IBM’s consulting and global professional services business, with market leading capabilities in business and technology transformation. With deep expertise in many industries, we offer strategy, experience, technology, and operations services to many of the most innovative and valuable companies in the world. Our people are focused on accelerating our clients’ businesses through the power of collaboration. We believe in the power of technology responsibly used to help people, partners and the planet.

This job requires you to provide your COVID-19 vaccination status with supporting documentation, where legally permissible.

Your Life @ IBM

Are you craving to learn more? Prepared to solve some of the world's most unique challenges? And ready to shape the future for millions of people? If so, then it's time to join us, express your individuality, unleash your curiosity and discover new possibilities.

Every IBMer, and potential ones like yourself, has a voice, carves their own path, and uses their expertise to help co-create and add to our story. Together, we have the power to make meaningful change – to alter the fabric of our clients, of society and IBM itself, to create a truly positive impact and make the world work better for everyone.

It's time to define your career.

Location Statement

IBM offers a wide range of resources for eligible IBMers to thrive both inside and outside of work. In addition to a competitive benefits program consisting of medical and life insurance, retirement plans, and time off, eligible employees may also have access to:

• 12 weeks of paid parental bonding leave. Family care options are also available to support eligible employees during COVID-19.

• World-class training and educational resources on our personalized, AI-driven learning platform. IBM's learning culture supports your restless attitude to grow your skills and build the depth and scale of knowledge needed to achieve your career goals.

• Well-being programs to support mental and physical health.

• Financial programs that empower you to plan, save, and manage your money (including expert financial counseling, 401(k), IBM stock discount, etc.).

• Select educational reimbursement opportunities.

• Diverse and inclusive employee resource groups where you can network and connect with IBMers across the globe.

• Giving and volunteer programs to benefit charitable organizations and local communities.

• Discounts on retail products, services, and experiences.

We consider qualified applicants with criminal histories, consistent with applicable law.

Being You @ IBM

IBM is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, pregnancy, disability, age, veteran status, or other characteristics. IBM is also committed to compliance with all fair employment practices regarding citizenship and immigration status.

IBM’s greatest invention is the IBMer. We believe that through the application of intelligence, reason and science, we can improve business, society and the human condition, bringing the power of an open hybrid cloud and AI strategy to life for our clients and partners around the world.

Restlessly reinventing since 1911, we are not only one of the largest corporate organizations in the world, we’re also one of the biggest technology and consulting employers, with many of the Fortune 50 companies relying on the IBM Cloud to run their business.

At IBM, we pride ourselves on being an early adopter of artificial intelligence, quantum computing and blockchain. Now it’s time for you to join us on our journey to being a responsible technology innovator and a force for good in the world.