Osaic
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Anti Money Laundering QC Supervisor
role at
Osaic
Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
Role Type:
Full-time
Salary:
$80,000 - $90,000 per year + annual bonus
Benefits include health, vision, dental insurance, 401(k), paid time off, volunteer days and more. For details visit: https://careers.osaic.com/Creative/Benefits
Summary The Anti-Money Laundering (AML) Quality Control (QC) Supervisor will utilize their knowledge and specialized training to implement and oversee the components of the QC team requirements in compliance with relevant AML rules and regulations. This includes continuous review of case investigations/dispositions, ensuring proper detailing and score allocation, monitoring results and trends, and providing feedback and training as necessary.
Education Requirements
Bachelor’s degree preferred; high school diploma (or equivalent) with significant practical experience is considered in lieu of a degree.
Responsibilities
Supervise and oversee the QC function for the AML Group.
Reporting and metric delivery to CAMLO.
Identification of development areas for Analysts.
Training of individuals in order to baseline understanding and quality of output.
Participate in interviewing and hiring of additional staff.
Act as a leader to guide Analysts, including the QC Analyst.
Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program.
Maintain a high level of confidentiality in all dealings with internal and external stakeholders.
Maintain currency in laws and regulations pertaining to anti-money laundering violations.
Basic Requirements
1–3 years of securities industry experience.
2–3 years of financial crime experience including investigations and monitoring within a related job/field.
Prior supervisory experience a plus.
Strong verbal and written communication skills required.
A solid and considered approach when dealing with Analysts and business partners.
The ability to organize and formulate a team.
General compliance knowledge – extensive knowledge of FINRA, SEC and firm‑specific rules and regulations.
314(a) and 314(b) experience.
SAR experience a plus.
Proficiency in MS Office applications (Word, Excel, Access).
Strong organizational skills and ability to work within strict timeframes.
Knowledge of the retail brokerage business, fee‑based advisory business and common investment products such as mutual funds, variable annuities, alternative investments, stocks, and bonds.
Ability to travel.
Preferred Requirements
CAMS or equivalent (CFCS).
FINRA Series 7.
CFE Certification.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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Anti Money Laundering QC Supervisor
role at
Osaic
Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
Role Type:
Full-time
Salary:
$80,000 - $90,000 per year + annual bonus
Benefits include health, vision, dental insurance, 401(k), paid time off, volunteer days and more. For details visit: https://careers.osaic.com/Creative/Benefits
Summary The Anti-Money Laundering (AML) Quality Control (QC) Supervisor will utilize their knowledge and specialized training to implement and oversee the components of the QC team requirements in compliance with relevant AML rules and regulations. This includes continuous review of case investigations/dispositions, ensuring proper detailing and score allocation, monitoring results and trends, and providing feedback and training as necessary.
Education Requirements
Bachelor’s degree preferred; high school diploma (or equivalent) with significant practical experience is considered in lieu of a degree.
Responsibilities
Supervise and oversee the QC function for the AML Group.
Reporting and metric delivery to CAMLO.
Identification of development areas for Analysts.
Training of individuals in order to baseline understanding and quality of output.
Participate in interviewing and hiring of additional staff.
Act as a leader to guide Analysts, including the QC Analyst.
Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program.
Maintain a high level of confidentiality in all dealings with internal and external stakeholders.
Maintain currency in laws and regulations pertaining to anti-money laundering violations.
Basic Requirements
1–3 years of securities industry experience.
2–3 years of financial crime experience including investigations and monitoring within a related job/field.
Prior supervisory experience a plus.
Strong verbal and written communication skills required.
A solid and considered approach when dealing with Analysts and business partners.
The ability to organize and formulate a team.
General compliance knowledge – extensive knowledge of FINRA, SEC and firm‑specific rules and regulations.
314(a) and 314(b) experience.
SAR experience a plus.
Proficiency in MS Office applications (Word, Excel, Access).
Strong organizational skills and ability to work within strict timeframes.
Knowledge of the retail brokerage business, fee‑based advisory business and common investment products such as mutual funds, variable annuities, alternative investments, stocks, and bonds.
Ability to travel.
Preferred Requirements
CAMS or equivalent (CFCS).
FINRA Series 7.
CFE Certification.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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