Case Analyst

Compliance · New York, New York
Department Compliance
Employment Type Full-Time
Minimum Experience Mid-level

About Uphold

Uphold is an easy-to-use investments and payments app. Specialising in digital assets, we serve more than 7 million customers in 150 countries. We open around 15,000 accounts a day and provide consumers with a more versatile and cost-effective home for their daily financial lives. For businesses, we provide regulated infrastructure to connect crypto with fiat currencies. Today, we support 51 digital assets, 28 national currencies, four precious metals and fractional U.S. equities. 


Uphold’s unique trading experience - ‘Anything-to-Anything’ - allows customers to trade directly between any supported asset or currency in one step - physical gold to Bitcoin, for example - saving both time and money. Uphold supports financial inclusion by enabling customers virtually anywhere to open an account in less than 5 minutes and to invest with no minimum amounts. Customers can send money to virtually anyone with an email address free of charge. 


To learn more, please visit https://uphold.com/en-us/


The opportunity: 

The Case Analyst will support the BSA Case Manager by conducting investigations and preparing Suspicious Activity Reports (SARs). Assists with conducting compliance monitoring activities for customer accounts and researches to identify suspicious activity in violation of federal regulations. This role is responsible for ensuring that compliance policies and procedures are appropriately being adhered to and documenting testing of the procedures on an ongoing basis as verification that Uphol is complying with federal regulations.


This position requires an in-depth knowledge of federal and state regulations in order to effectively assist in researching, preparing, implementing, maintaining, developing, and tracking all Uphold compliance for new and existing products, services and delivery systems. Identifies and reports on changing trends in methods used by fraud perpetrators. Stays informed on changes to all related banking regulations. Ensures activities are appropriately controlled and in compliance with applicable Federal Securities Laws, pursuant to Rule 38a-1. The ideal candidate will be a strong communicator and offer exceptional data analytic abilities.


What you’ll be doing primarily:

  • Conducts investigations based off of alerts provided by Jr Analysts and any internal tips for suspicious activity.
  • Gathers any and all information and documentation for Suspicious Activity Investigations (SAIs).
  • Prepares SARs and narrative to provide to BSA Case Manager for filing.
  • Performs and/or reviews compliance monitoring activities and testing as outlined in assigned compliance programs and oversight procedures.
  • Serves as primary liaison with service providers and customers, assisting regulators and consultants by requesting and/or providing information necessary to conduct regulatory compliance reviews and examinations.
  • Reports to the BSA Case Manager on day-to-day activities and escalates all material deficiencies.
  • Reviews new laws and regulations that may affect Uphold or its customers and evaluates the impact of those changes.
  • Conducts and maintains compliance risk assessments.
  • Maintains repository of testing workpapers and corrective action plans.
  • Writes reports or presentations that clearly articulate the results and conclusions of compliance review activities.
  • Discusses and reviews all potential test findings with Compliance management.
  • Prepares monthly status reports, action plans and timelines, as needed for discussion with the BSA Case Manager or Director of Compliance.
  • Other job-related duties as assigned by BSA Case Manager
  • Other duties as required or assigned.


Required qualifications:

  • Bachelor’s degree and 2 years of work-related experience or 4 years equivalent work-related experience
  • Cryptocurrency monitoring experience a plus 
  • Familiarity with blockchain and the product set / risks
  • Knowledge of securities regulatory requirements and limitations, and operating policies for Registered Investment Companies and other service providers (i.e. investment advisers, transfer agents, fund administrators, distributors, custodians, etc.)
  • Must be able to manage multiple tasks simultaneously
  • Ability to work independently
  • Knowledge in risk typologies and AML/CFT red flag indicators 
  • Advanced computer skills, including Google Apps and Microsoft Office (i.e. Word, Excel, PowerPoint, etc.)
  • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
  • Exceptional customer service and problem-solving capabilities 
  • Knowledge and experience working with investment advisers, transfer agency, fund accounting, and industry-related systems preferred



What we have to offer you:

  • An amazing work environment in a company that continues to grow, driven by extraordinary and passionate people that keep up innovating and challenging more each day.
  • An international team, in a cutting edge field, working on the most fascinating projects.
  • Growth and career opportunities, and the chance to be proactive and creative.
  • A flexible and enthusiastic work environment that offers you snacks, a lot of coffee and other great benefits.
  • Open and transparent culture - we get together on a weekly basis to share updates, strategic plans, and engage with each other informally over food and drinks.
  • Interesting events that keep you connected with the team and celebrate our success.


Be part of a great company that is revolutionizing the financial services. Apply now!


If this job isn’t exactly what you are looking for, visit our careers page to check out all our exciting opportunities.  


EEOC Employer

We're proud to be an Equal Opportunity Employer and we celebrate our employees' differences, including race, color, religion, gender identity, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, and any other protected classes. Difference makes us stronger and better - together.

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  • Location
    New York, New York
  • Department
    Compliance
  • Employment Type
    Full-Time
  • Minimum Experience
    Mid-level