Brokerage AML Fraud Analyst

Overview

Corner Stone Professional Placement is seeking a Brokerage AML Fraud Analyst
.

• Review and investigate daily AML Level Alerts involving money movement and trade activity
• Work high-volume broker-dealer based alerts as they come in (team averages 400–500 alerts/day; 6–10 per person/hour)
• Analyze customer transactional and account activity to determine legitimacy and identify suspicious patterns
• Escalate high-risk concerns including elder abuse indicators and unusual transactional behavior
• Serve as SME support for Unusual Financial Observation (UFO) filings and partner with AML Officers/Fraud Program teams
• Utilize systems including Protogent AML modules and the Wells Cap system to research, document, and clear/escalate alerts
• Assist with manual reporting and documentation as needed
• Stay current on evolving BSA/AML regulations
  , FINRA Red Flags, and compliance requirements

• 7+ years of financial services experience in operations, supervision, compliance, and/or risk management
• Strong Broker Dealer AML background required (
  brokerage experience is most important
  )
• Experience reviewing transactional activity, trades, and money movement alerts preferred
• Knowledge of securities markets, retail brokerage, and regulatory environments
• Strong analytical and reporting skills with attention to detail
• Excellent written/verbal communication skills and ability to manage priorities independently
• Preferred: FINRA Series 7/66 and/or Series 24
• Preferred:
  Advanced Excel and SQL skills

• Employment Type:
  
  Contract to Hire
• Location:
  
  Remote initially, once perm on-site
• Benefits:
  Available while on contract

If you are an experienced professional with a proven track record in AML and risk management, we invite you to apply today and take the next step in your career with a company committed to innovation, collaboration, and excellence. Send your resume to Allison Harrison at all for immediate consideration.