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Brokerage AML QA Analyst
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Job Description
- Req#: fb168ae2-7366-4b32-b517-6de1597a7aff
Employer Industry: Financial Services
Why Consider this Job Opportunity:
- Competitive salary based on experience and market data
- Opportunity for career advancement and growth within the organization
- Work remotely from anywhere within the continental U.S.
- Supportive and collaborative work environment
- Chance to make a significant impact in the field of AML investigations
What to Expect (Job Responsibilities):
- Conduct comprehensive AML investigations, pulling transactional data and KYC records from bank systems
- Draft detailed investigative summaries and, when applicable, Suspicious Activity Reports (SAR)
- Provide feedback to investigators regarding case errors and inaccurate analyses
- Verify case investigation documentation for consistency and accuracy
- Ensure daily production goals for case investigations and quality reviews are met
What is Required (Qualifications):
- Minimum of 5 years of AML experience within the financial services industry
- 3-5 years of experience in AML Transaction Monitoring investigations, preferably for a retail bank
- Bachelor’s degree or equivalent work experience in financial services, investigative services, or law enforcement
- Advanced understanding of the Bank Secrecy Act, USA Patriot Act, and related laws and regulations
- Strong oral and written communication skills and analytical experience
How to Stand Out (Preferred Qualifications):
- FINRA licenses including SIE, Series 7, Series 4, or Series 24
- Knowledge of retail and institutional brokerage products and compliance regulations
- Experience with securities trading in equities, bonds, options, and futures contracts
- Familiarity with transaction analysis related to FINRA Red Flags and associated risk
- Back Office/Front Office experience, including security reconciliation and securities processing
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