Job Description

Overview Join to apply for the AML FIU Analyst role at Osaic . Compliance Opportunity in Financial Services AML (Anti-Money Laundering) FIU Analyst Preferred Location(s): St. Petersburg, FL and Atlanta, GA 2300 Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive West, St. Petersburg, FL 33702 7755 Third Street North, Oakdale, MN 55128 12325 Port Grace Boulevard, La Vista, NE 68128 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule. Role Type: Full-Time Salary: $60,000 - $70,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education. Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Summary: The FIU Anti-Money Laundering (“AML”) Investigative Analyst will be responsible for monitoring and reviewing transactions to identify potentially suspicious activity, conducting investigations, and preparing Suspicious Activity Reports (“SARs”), as required. Duties may also include reviewing, analyzing, and escalating other potentially suspicious transactions. The analyst will interact with colleagues at various levels throughout the Firm, advisors, and supervisors in the field, and with our clearing firms to conduct thorough investigations. Responsibilities Identify and investigate potentially suspicious fraudulent activity, as identified utilizing relevant systems and matters, notified, and escalated to the AML Group by various facets of the business. Conduct and document thorough reviews of the relevant activity. Complete SARs timely and to a high standard. Work with advisors and supervisors to gather 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. Perform client due diligence reviews utilizing internal and third-party research tools. Utilize a wide variety of public and non-public resources to investigate matters involving possible financial criminal activity fully. 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. Education Requirements Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered in lieu of a degree. Minimum of high school diploma or equivalent is required. Requirements CAMS or equivalent (CFCS)

1. 3 years of securities industry experience
2. 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 Proficiency in MS Office applications (Word, Excel, Access) Strong organizational skills and the ability to work within strict timeframes Ability to interpret the Firm’s Sales Practice Manual, 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 FINRA Series 7 CFE Certification Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we 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. #J-18808-Ljbffr Osaic

Job Tags

Full time,

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