Identify and investigate the potentially suspicious or fraudulent activity, as identified utilizing internal systems or matters escalated to the AML Group by various areas of the business.
Conduct and document thorough reviews of assigned escalated or alerted activity.
Complete SARs to a high standard, adhering to regulatory requirements and internal procedures.
Work with financial advisors and supervisors to gather relevant information and documentation required to resolve matters.
Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or issues that may pose a higher risk to the Firm in a timely manner.
Utilize a wide variety of public and non-public resources to thoroughly investigate matters involving possible financial criminal activity and or fraud.
Maintain a high level of confidentiality in all dealings with internal and external stakeholders.
Maintain currency in laws and regulations about anti-money laundering violations.
All other duties as assigned

1 – 3 years of securities industry experience
2 – 3 years conducting investigations into financial crime (e.g., money laundering and fraud)
Strong verbal and written communication skills are required
Transaction Monitoring System experience, Actimize, Mantas, etc.
A solid and considerate approach when dealing with business partners
Strong SAR writing and case disposition capabilities
General compliance knowledge
must have extensive knowledge of FINRA, SEC, and Firm-specific rules and regulations
314(a) and 314(b) experience a plus
Proficiency in MS Office applications (Word, Excel, Access)
Strong organizational skills and the ability to work within strict timeframes
Ability to interpret FINRA manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation, and internal policies and procedures
Knowledge of the retail brokerage business, fee-based advisory business, and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds

AML FIU Analyst

Key skills