Kestra Financial
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The AML Analyst is responsible for conducting thorough investigations and reviews to ensure compliance with Anti-Money Laundering (AML) regulations. This role requires intermediate professional experience and operates with a high degree of autonomy, contributing to the strategic goals of the compliance team.
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 communications skills
Ability to communicate and work with all associates of all levels within our organization
Ability to prioritize multiple tasks and manage projects effectively
Attention to detail and organizational skills
Ability to work independently and focus on job tasks with little hands on supervision
Ability to learn different software systems
Strong analytical skills and ability to research items in an efficient and timely manner
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 office environment well lit.
Ability to lift up to 20 pounds.
Position is located in Austin, TX office. Must be able to work in the office during scheduled work hours.
OTHER DUTIES: Please note this job description is not designed to cover or contain a complete comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
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Get AI-powered advice on this job and more exclusive features.
The AML Analyst is responsible for conducting thorough investigations and reviews to ensure compliance with Anti-Money Laundering (AML) regulations. This role requires intermediate professional experience and operates with a high degree of autonomy, contributing to the strategic goals of the compliance team.
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 communications skills
Ability to communicate and work with all associates of all levels within our organization
Ability to prioritize multiple tasks and manage projects effectively
Attention to detail and organizational skills
Ability to work independently and focus on job tasks with little hands on supervision
Ability to learn different software systems
Strong analytical skills and ability to research items in an efficient and timely manner
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 office environment well lit.
Ability to lift up to 20 pounds.
Position is located in Austin, TX office. Must be able to work in the office during scheduled work hours.
OTHER DUTIES: Please note this job description is not designed to cover or contain a complete comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
Referrals increase your chances of interviewing at Kestra Financial by 2x
Get notified about new Anti-Money Laundering Analyst jobs in Tempe, AZ.
#J-18808-Ljbffr