AML Analyst

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Fraud investigation opportunity in Financial Services

AML (Anti-Money Laundering) Analyst


Keys:    fraud investigation, financial crimes, regulatory compliance     

Location:

2300 Windy Ridge Parkway #1100   Atlanta, GA  30339 

877 Executive Center Drive West, Suite 300  St. Petersburg, FL 33702

Summary:

The Anti-Money Laundering (“AML”) Analyst will be responsible for reviewing clients, accounts and transactions for potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”), as required.  Duties will 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.

Organizational Structure:

The Advisor Group network of independent broker-dealers is among the largest in the United States. The five broker-dealers that comprise Advisor Group – FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services.

This position will be a part of the Anti-Money Laundering Compliance department and reports directly to the AML Compliance Officer. Less than 10% travel is required.

Responsibilities:

  • Conduct and document thorough reviews of clients and activity
  • 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
  • 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
  • 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. 

Position Requirements:

  • 5+ years of securities industry experience
  • 3+ years conducting investigations into financial crime (e.g. fraud, money laundering)
  • Strong verbal and written communication skills are required
  • General Compliance Knowledge - Must have extensive 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:

  • FINRA Series 7 and 24 licenses preferred
  • CFCS, CAMS or CFE Certification is a plus