Aml Fiu Analyst

Compliance Opportunity in Financial Services

AML (Anti-Money Laundering) FIU Analyst

Location(s):     All Locations/Remote (Accepting qualified candidates across all locations within United States.)

Role Type:       Full-Time (Hybrid/Remote)

Summary:

The FIU Anti-Money Laundering (“AML”) Investigative Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”), as required. Duties may also include but are not limited to reviewing, analyzing, and escalating other potentially suspicious transactions. The analyst will interact with colleagues at various levels throughout the Firm, advisors, and supervisors in the field, and with our clearing firms to conduct thorough investigations.

Responsibilities:

• Identify and investigate the potentially suspicious fraudulent activity, as identified utilizing relevant systems and matters, notified, and escalated to the AML Group by various facets of the business.
• Conduct and document thorough reviews of the relevant activity.
• Complete SARs timely and to a high standard.
• Work with advisors and supervisors to gather 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.
• Perform client due diligence reviews utilizing internal and third-party research tools.
• Utilize a wide variety of public and non-public resources to investigate matters involving possible financial criminal activity fully.
• 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

Education Requirements:

• Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered.

Basic Requirements:

• 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
• Proficiency in MS Office applications (Word, Excel, Access)
• Strong organizational skills and the ability to work within strict timeframes
• Ability to interpret the Firm’s Sales Practice Manual, 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

Requirements:

• CAMS or equivalent (CFCS)

Preferred Requirements:

• FINRA Series 7 is a plus.
• CFE Certification is a plus.

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.