Published on

Feb 20, 2024

Published on

Feb 20, 2024

Published on

Feb 20, 2024

Published on

Feb 20, 2024

Anti-Money Laundering Analyst

Anti-Money Laundering Analyst

Anti-Money Laundering Analyst

Anti-Money Laundering Analyst

Full-time

/

United States

/

Remote

Full-time

/

United States

/

Remote

Full-time

/

United States

/

Remote

Full-time

/

United States

/

Remote

About the job

Summary:

The FIU Transaction Surveillance Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and escalating for possible 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.


Position Type: Full-time, Contract

Hours: 8:30AM - 5:30PM EST

Duration: 3 Months

Pay Rate: $28.00 - $33.00 per hour


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.

  • 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:

  • 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

  • General compliance knowledge - of FINRA, SEC, and Firm-specific rules and regulations

  • 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 is a plus

About the job

Summary:

The FIU Transaction Surveillance Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and escalating for possible 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.


Position Type: Full-time, Contract

Hours: 8:30AM - 5:30PM EST

Duration: 3 Months

Pay Rate: $28.00 - $33.00 per hour


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.

  • 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:

  • 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

  • General compliance knowledge - of FINRA, SEC, and Firm-specific rules and regulations

  • 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 is a plus

About the job

Summary:

The FIU Transaction Surveillance Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and escalating for possible 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.


Position Type: Full-time, Contract

Hours: 8:30AM - 5:30PM EST

Duration: 3 Months

Pay Rate: $28.00 - $33.00 per hour


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.

  • 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:

  • 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

  • General compliance knowledge - of FINRA, SEC, and Firm-specific rules and regulations

  • 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 is a plus

About the job

Summary:

The FIU Transaction Surveillance Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and escalating for possible 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.


Position Type: Full-time, Contract

Hours: 8:30AM - 5:30PM EST

Duration: 3 Months

Pay Rate: $28.00 - $33.00 per hour


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.

  • 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:

  • 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

  • General compliance knowledge - of FINRA, SEC, and Firm-specific rules and regulations

  • 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 is a plus

About Company

Osaic provides the support, resources, and community designed for the future of wealth management.

Total Employees

1,211

Company 2-Year Growth

97%

Median Employee Tenure

1.9 years