AML Analyst, FIU

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Financial Intelligence Unit Opportunity in Financial Services

AML (Anti-Money Laundering) FIU Analyst


Keys:    financial crimes, Investigations, suspicious activity

Location:

2300 Windy Ridge Parkway, Atlanta, GA  30339 

Summary:

The Anti-Money Laundering (“AML”) Investigations Analyst will be responsible for monitoring and investigating transactions for potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”), as required.  Duties will also include, but are not limited to, screening client and payee records against the OFAC, and 314(a) lists and reviewing daily/weekly/monthly/ quarterly reports.  The analyst will also conduct thorough research and investigations involving various types of securities products and activity.  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 into potentially suspicious activity.

Core Responsibilities:

  • Identify and investigate potentially suspicious 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 relevant activity.
  • Complete SAR’s 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 or Firm policy violations or matters 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 resources, both public and non-public, to fully investigate matters involving possible financial criminal activity.
  • 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:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 5+ 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
  • Ability to travel <10%

Preferred Requirements:

  • CAMS or equivalent (CFCS)
  • FINRA Series 7 is a plus
  • CFE Certification is a plus