AML Manager, FIU

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Financial Intelligence Unit Opportunity in Financial Services

AML (Anti-Money Laundering) FIU Manager

Keys:    manager, financial crimes, Investigations, suspicious activity, transaction monitoring


877 Executive Center Drive West, Saint Petersburg, Florida 33702


The Anti-Money Laundering (“AML”) contributing FIU Manager will be hands on in nature and will be responsible for overseeing the monitoring and investigating team charged with reviewing transactions for potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”). Duties will also include, but are not limited to, management of 314(a) and 314(b) item requests and reviewing daily/weekly/monthly/ quarterly reports.  The FIU Manager will also conduct thorough research and investigations, where necessary, involving various types of securities products and activity, and also act as a leader to other Analysts. The individual be the escalation point for matters and will interact with colleagues at various levels throughout the Firm, including advisors and supervisors in the field; and with our clearing firms to conduct thorough investigations into potentially suspicious activity.  The individual will report directly into the Chief AML Officer (“CAMLO”).

Core Responsibilities:

  • Manage the FIU and modify the team/infrastructure/process, where necessary.
  • Perform supervisory activities, including coaching individuals and assisting with their performance issues, as necessary.
  • Oversee the 314(a) process.
  • Handle 314(b) items in a timely manner.
  • Provide training as necessary.
  • Involvement in the hiring of staff.
  • 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.
  • Annual review and implementation of procedures, policies, and processes as necessary.
  • Respond to regulatory inquiries in a timely manner
  • 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.
  • Produce periodic metrics for the CAMLO in a timely manner.
  • 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
  • 3+ years within a regulated investigations function, specific to financial crime (e.g. money laundering and Fraud)
  • 3 years management/supervisory experience
  • Strong verbal and written communication skills are required
  • Negative News disposition and escalation experience
  • Transaction Monitoring/ Case Management System experience, Actimize, Mantas etc.
  • A solid and considered 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