Oppenheimer & Co. Inc.
Oppenheimer & Co. Inc. is seeking an AML Investigator to join their AML Group in our New York office. The Investigator will perform investigations for our growing international based retail and institutional clients maintained at the firm. This role is for a self-starter who can obtain transactional data from a variety of sources (internal and external) to execute detailed analysis and reporting of findings to senior management. The focus is on identifying trends in data across multiple inputs with advanced Excel skills to homogenize disparate data for research related to transactional trends and red flags. This can be accomplished using a multitude of technical platforms.
Responsibilities
Perform annual High risk account activity reviews
Conduct in-depth strategic initiatives related to ongoing AML transaction or trade-based monitoring, concerns and red flags
Prepare Suspicious Activity Report (SAR) filings
Communicate effectively within AML Compliance and with branches/business lines
Recommend appropriate follow-up and possible action for customers that exceed the Firm’s risk tolerance
Flexible to perform other functions as requested by management
Qualifications
Acute investigative prowess with the ability to identify AML typologies and patterns
Exceptional research and analytical skills with the ability to analyze large data sets and decipher higher risk attributes (transactional, geographical, product type, customer type, etc.)
Proficiency in Excel, VBA, Access, SQL; prior Broker Dealer experience preferred
Understanding of investment products, financial instruments, and expected customer behavior to identify risk and suspicious activity
Excellent verbal and written communication skills
Bi-lingual Spanish/English is preferred
Minimum of two years with direct experience in private wealth management focusing on emerging markets and domestic accounts
Bachelor’s Degree required
CAMS certification preferred
4-6 years of experience in reviewing customer transactions for potentially suspicious activity and performing AML or financial investigations
Proficient in reviewing and clearing AML surveillance alerts; Actimize experience is a plus
Ability to articulate detailed investigation analysis and results
Knowledge of applicable anti-money laundering laws (e.g., Bank Secrecy Act, USA PATRIOT Act, OFAC requirements, SAR requirements)
Compensation For job postings in New York City, a reasonable estimate of the current base salary range is $75,000.00 - $100,000.00 at the time of this posting. Some positions are eligible for discretionary bonus or additional forms of compensation.
Employment details
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance and Sales
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Responsibilities
Perform annual High risk account activity reviews
Conduct in-depth strategic initiatives related to ongoing AML transaction or trade-based monitoring, concerns and red flags
Prepare Suspicious Activity Report (SAR) filings
Communicate effectively within AML Compliance and with branches/business lines
Recommend appropriate follow-up and possible action for customers that exceed the Firm’s risk tolerance
Flexible to perform other functions as requested by management
Qualifications
Acute investigative prowess with the ability to identify AML typologies and patterns
Exceptional research and analytical skills with the ability to analyze large data sets and decipher higher risk attributes (transactional, geographical, product type, customer type, etc.)
Proficiency in Excel, VBA, Access, SQL; prior Broker Dealer experience preferred
Understanding of investment products, financial instruments, and expected customer behavior to identify risk and suspicious activity
Excellent verbal and written communication skills
Bi-lingual Spanish/English is preferred
Minimum of two years with direct experience in private wealth management focusing on emerging markets and domestic accounts
Bachelor’s Degree required
CAMS certification preferred
4-6 years of experience in reviewing customer transactions for potentially suspicious activity and performing AML or financial investigations
Proficient in reviewing and clearing AML surveillance alerts; Actimize experience is a plus
Ability to articulate detailed investigation analysis and results
Knowledge of applicable anti-money laundering laws (e.g., Bank Secrecy Act, USA PATRIOT Act, OFAC requirements, SAR requirements)
Compensation For job postings in New York City, a reasonable estimate of the current base salary range is $75,000.00 - $100,000.00 at the time of this posting. Some positions are eligible for discretionary bonus or additional forms of compensation.
Employment details
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance and Sales
#J-18808-Ljbffr