Anti-Money Laundering (Aml) Quality Control Analyst

Current Employees and Contractors Apply Here
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AML Compliance Opportunity in Financial Services
Anti-Money Laundering (AML) Quality Control Analyst
Preferred Location(s): St Petersburg, FL or Omaha, NE
Qualified candidates in all locations and seeking 100% work from home encouraged to apply.
Summary:
The Anti-Money Laundering ("AML") Quality Control ("QC") Analyst will support the AML QC Manager for Advisor Group. The QC Analyst will utilize their knowledge and specialized training to work components of the QC team requirements in compliance with relevant AML rules and regulations. Relevant aspects would include, but not be limited to, continuous review of case investigations / dispositions and ensuring cases are properly detailed with items satisfactorily addressed. Additionally, the QC Analyst will review samples of Analyst work for accuracy and completeness of review with resulting score allocation. Monitoring results and trends for addressing with individuals and escalation to the QC Manager, providing feedback and advising training as necessary.
This position will be part of the growing Anti-Money Laundering Compliance Group with direct report to the QC Manager.
Core Responsibilities:

• Work the Quality Control function for the AML Group.
• Reporting and metric delivery to QC Manager.
• Identification of development areas for Analysts.
• Training of individuals to baseline understanding and quality of output.
• Act as a subject matter expert (SME) to guide Analysts.
• Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
• Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program
• Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
• Maintain currency in laws and regulations pertaining to anti-money laundering violations.
• All other duties as assigned

Education Requirements:

• Minimum of high school diploma or equivalent is required.

Basic Requirements:

• 3+ years of securities industry experience
• Minimum 1 year of AML, financial crime or related experience, including Investigations and Monitoring within a related job/ field.
• Strong verbal and written communication skills are required
• A solid and considered approach when dealing with Analysts and business partners
• The ability to organize and manage multiple work efforts
• General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
• 314(a) and 314(b) experience
• SAR 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

Preferred Requirements:

• CAMS or equivalent (CFCS) preferred

Current Employees and Contractors Apply Here