AML (Anti-Money Laundering) CIU Analyst

Client Intelligence Unit Opportunity in Financial Services

AML (Anti-Money Laundering) CIU Analyst

Location:

12325 Port Grace Blvd, La Vista, NE 68128

Summary:

The Anti-Money Laundering (“AML”) CIU Analyst will be responsible for working the customer onboarding validation and review process, including analysis, documentation collection and verification, pertinent to individual and entity-based client relationships. Duties will also include, but are not limited to; screening and reviewing clients for relevant Know Your Client (“KYC”) Customer Identification Program (“CIP”)/ Customer Due Diligence rule (“CDD”) and Enhanced Due Diligence (“EDD”) requirements. 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:

  • Conduct CIP screening and verification utilizing relevant systems
  • Review and escalation of various matters notified and escalated to the AML Group, by various facets of the business, with respect to the due-diligence process.
  • Perform Client Due Diligence testing and review, utilizing internal and third-party research tools.
  • Perform Enhanced Due Diligence for High-Risk clients utilizing internal and third-party research tools.
  • Metrics gathering and escalation.
  • 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 matters that may pose a higher risk to the Firm.
  • Work with other teams on the formulation of all facts and documents relevant to Suspicious activity reporting (SAR’s). 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:

  • 3 years of securities industry experience
  • 1-3 years conducting related functions within a Broker Dealer or Bank.
  • Strong verbal and written communication skills are required
  • Relevant systems experience
  • A solid and considered approach when dealing with business partners
  • 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
  • Less than 10% travel required

Preferred Requirements:

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

Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group 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.

Eligibility

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 Advisor Group.

Unqualified Applications

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

Recruiting Agencies

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