Advisor Group
Compliance Opportunity in Financial Services
AML (Anti-Money Laundering) FIU Analyst
Preferred Location(s):
St. Petersburg, FL and Atlanta, GA
2300 Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive West, St. Petersburg, FL 33702 7755 Third Street North, Oakdale, MN 55128 12325 Port Grace Boulevard, La Vista, NE 68128 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Schedule Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.
Role Type Full-Time
Salary $60,000 - $70,000 per year + annual bonus
Benefits
Actual compensation offered will be determined individually based on location, skills, experience, and education.
Competitive salaries and additional benefits include health, vision, dental insurance, 401(k), vacation, sick time, and volunteer days.
More details: https://careers.osaic.com/Creative/Benefits
Summary 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.
Responsibilities
Identify and investigate potentially suspicious fraudulent activity, utilizing relevant systems and notifying the AML Group.
Conduct and document thorough reviews of relevant activity.
Complete SARs timely and to a high standard.
Work with advisors and supervisors to gather information and documentation required to resolve matters.
Identify and elevate matters containing potentially suspicious activity, firm policy violations, or higher risk issues.
Perform client due diligence reviews utilizing internal and third-party research tools.
Utilize a wide variety of public and non-public resources to investigate matters involving possible financial criminal activity.
Maintain a high level of confidentiality in all dealings with internal and external stakeholders.
Maintain currency in laws and regulations about anti-money laundering violations.
Education Requirements
Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience considered in lieu of a degree.
Minimum of high school diploma or equivalent is required.
Requirements
CAMS or equivalent (CFCS)
1 – 3 years of securities industry experience
2 – 3 years conducting investigations into financial crime (e.g., money laundering and fraud)
Strong verbal and written communication skills are required
Transaction Monitoring System experience, Actimize, Mantas, etc.
A solid and considerate 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
Preferred Requirements
FINRA Series 7
CFE Certification
#J-18808-Ljbffr
2300 Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive West, St. Petersburg, FL 33702 7755 Third Street North, Oakdale, MN 55128 12325 Port Grace Boulevard, La Vista, NE 68128 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Schedule Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.
Role Type Full-Time
Salary $60,000 - $70,000 per year + annual bonus
Benefits
Actual compensation offered will be determined individually based on location, skills, experience, and education.
Competitive salaries and additional benefits include health, vision, dental insurance, 401(k), vacation, sick time, and volunteer days.
More details: https://careers.osaic.com/Creative/Benefits
Summary 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.
Responsibilities
Identify and investigate potentially suspicious fraudulent activity, utilizing relevant systems and notifying the AML Group.
Conduct and document thorough reviews of relevant activity.
Complete SARs timely and to a high standard.
Work with advisors and supervisors to gather information and documentation required to resolve matters.
Identify and elevate matters containing potentially suspicious activity, firm policy violations, or higher risk issues.
Perform client due diligence reviews utilizing internal and third-party research tools.
Utilize a wide variety of public and non-public resources to investigate matters involving possible financial criminal activity.
Maintain a high level of confidentiality in all dealings with internal and external stakeholders.
Maintain currency in laws and regulations about anti-money laundering violations.
Education Requirements
Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience considered in lieu of a degree.
Minimum of high school diploma or equivalent is required.
Requirements
CAMS or equivalent (CFCS)
1 – 3 years of securities industry experience
2 – 3 years conducting investigations into financial crime (e.g., money laundering and fraud)
Strong verbal and written communication skills are required
Transaction Monitoring System experience, Actimize, Mantas, etc.
A solid and considerate 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
Preferred Requirements
FINRA Series 7
CFE Certification
#J-18808-Ljbffr