Job Description

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.

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