Osaic Institutions AML FIU Analyst

Overview

Anti-Money Laundering Compliance Opportunity in Financial Services

Osaic Institutions AML FIU Analyst

Preferred Location(s): 538 Preston Avenue, Suite 2, Meriden 06450, CT

Other Location(s) considered:

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite
  750, Atlanta, GA 30339
• St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
• 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

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $70,000 - $80,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:
Osaic Benefits
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Summary:

We are looking for a candidate with strong analytical and attention to detail skills who will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”), as required. Strong communication skills are also a must as duties will include interacting with colleagues at various levels throughout the Firm, advisors, and supervisors in the field, and with our clearing firms to conduct thorough investigations.

Education Requirements:

Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:

• Identify and investigate the potentially suspicious or fraudulent activity, as identified utilizing internal systems or matters escalated to the AML Group by various areas of the business.
• Conduct and document thorough reviews of assigned escalated or alerted activity.
• Complete SARs to a high standard, adhering to regulatory requirements and internal procedures.
• Work with financial advisors and supervisors to gather relevant information and documentation required to resolve matters.
• Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or issues that may pose a higher risk to the Firm in a timely manner.
• Utilize a wide variety of public and non-public resources to thoroughly investigate matters involving possible financial criminal activity and/or fraud.
• 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.

Basic Requirements:

• 3 years of securities industry experience
• 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 a plus
• Proficiency in MS Office applications (Word, Excel, Access)
• Strong organizational skills and the ability to work within strict time frames
• Ability to interpret 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:

• CAMS or equivalent (CFCS)
• FINRA Series 7 is a plus
• CFE Certification is a…