Kestra Financial
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AML Analyst
role at
Kestra Financial
ABOUT US Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
ESSENTIAL DUTIES AND RESPONSIBILITIES Perform AML investigations and transaction reviews with minimal supervision. Prepare and file Suspicious Activity Reports (SARs) and respond to FinCEN requests. Collaborate with internal departments and third-party vendors to gather and analyze data. Stay current with AML regulations and industry best practices. Recommend process improvements and contribute to compliance strategy.
KNOWLEDGE, SKILLS, AND/OR ABILITIES Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork. Excellent written and oral communication skills. Ability to communicate and work with all levels within the organization. Ability to prioritize multiple tasks and manage projects effectively. Attention to detail and organizational skills. Ability to work independently with little supervision. Ability to learn different software systems. Strong analytical skills and ability to research items efficiently and timely. Software knowledge of MS Word, Excel and Outlook.
SUPERVISORY RESPONSIBILITIES None
EDUCATION AND/OR EXPERIENCE Bachelor’s degree required or relevant work experience. 2+ years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience.
CERTIFICATIONS, LICENSES, REGISTRATIONS Series 7 required. Series 24 required (or obtained within 90 days of employment). CAMS certification preferred.
PHYSICAL DEMAND Ability to sit at a computer for long periods of time in an office environment well lit. Ability to lift up to 20 pounds. Position located in Austin, TX office or Tempe, AZ. Must be able to work in the office during scheduled work hours.
BENEFITS Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE You acknowledge that if hired, Kestra Financial, Inc. may obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment. Kestra Financial prohibits any discrimination or harassment. The policy is to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law.
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AML Analyst
role at
Kestra Financial
ABOUT US Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
ESSENTIAL DUTIES AND RESPONSIBILITIES Perform AML investigations and transaction reviews with minimal supervision. Prepare and file Suspicious Activity Reports (SARs) and respond to FinCEN requests. Collaborate with internal departments and third-party vendors to gather and analyze data. Stay current with AML regulations and industry best practices. Recommend process improvements and contribute to compliance strategy.
KNOWLEDGE, SKILLS, AND/OR ABILITIES Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork. Excellent written and oral communication skills. Ability to communicate and work with all levels within the organization. Ability to prioritize multiple tasks and manage projects effectively. Attention to detail and organizational skills. Ability to work independently with little supervision. Ability to learn different software systems. Strong analytical skills and ability to research items efficiently and timely. Software knowledge of MS Word, Excel and Outlook.
SUPERVISORY RESPONSIBILITIES None
EDUCATION AND/OR EXPERIENCE Bachelor’s degree required or relevant work experience. 2+ years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience.
CERTIFICATIONS, LICENSES, REGISTRATIONS Series 7 required. Series 24 required (or obtained within 90 days of employment). CAMS certification preferred.
PHYSICAL DEMAND Ability to sit at a computer for long periods of time in an office environment well lit. Ability to lift up to 20 pounds. Position located in Austin, TX office or Tempe, AZ. Must be able to work in the office during scheduled work hours.
BENEFITS Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE You acknowledge that if hired, Kestra Financial, Inc. may obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment. Kestra Financial prohibits any discrimination or harassment. The policy is to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law.
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