The FIU Anti-Money Laundering (AML) Investigative Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and preparing 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. Responsibilities include identifying and investigating potentially suspicious fraudulent activity, conducting and documenting thorough reviews, completing SARs timely and to a high standard, working with advisors and supervisors to gather information and documentation, identifying and escalating matters containing suspicious activity or policy violations, performing client due diligence reviews, utilizing public and non-public resources to investigate financial criminal activity, maintaining confidentiality, and staying current with laws and regulations about anti-money laundering violations. Education requirements include a Bachelor's Degree preferred, with a high school diploma or GED plus significant practical experience considered. Requirements include CAMS or equivalent certification, 1-3 years of securities industry experience, 2-3 years conducting investigations into financial crime, strong communication skills, experience with transaction monitoring systems, strong SAR writing skills, general compliance knowledge, 314(a) and 314(b) experience, proficiency in MS Office, strong organizational skills, and knowledge of retail brokerage and investment products. Preferred requirements include FINRA Series 7 and CFE Certification.
By applying, you consent to your information being transmitted by Jooble to the Employer, as data controller, through the Employer’s data processor SonicJobs.
See advisorgroup Privacy Policy at and Terms & Conditions at and SonicJobs Privacy Policy at and Terms of Use at
...ISLAND GUIDECreate a relaxed destination - Provide the ultimate in-store experience of the Tommy Bahama brand through excellent visual merchandising and execute presentation; ensuring all signing and graphics are installed and maintained to company standardsSet the course...
...Associate Dentist POSITION SUMMARY The Associate Dentist (AD) is responsible for administering, maintaining, and expanding a program of primary (and in selected cases, secondary) care and preventive dental care in a group practice setting. ADs play a leadership...
...equipment and hand tools Ability to work with or around chemicals Ability to use a microscope Safety Sensitive Position What STERIS Offers: We value our employees and are committed to providing a comprehensive benefits package that supports your health, well-...
...OUR CODE : We are passionate abouthigh performance livingand we practice what we preach investing time in our own health and fitness.We believe that everyone has untapped potential within them and it takes adisruptive approachto unleash it. Wedream bigand don...
...We are currently seeking a motivated individual to join our Influencer Management Team and contribute to the growth and success of our... ...influencer department. Position Summary: As the Influencer Marketing Manager , youll own the end-to-end strategy and execution...