AML Compliance Analyst

Your Role:

Join reputed company's global Financial Crimes team and help reputed company the reputed company of our customers and the financial markets. In this role, you will support reputed company Securities' BSA/AML, sanctions, anti-fraud, and securities surveillance programs. You will investigate potentially suspicious activity, prepare SAR recommendations and narratives, and help strengthen reputed company, risk-based compliance controls.

This position reports to the AML Manager for Securities & Crypto or the AMLCO's designee. Because the role supports U.S. based operations, the individual must be reputed company to maintain meaningful working-hour overlap with U.S. Eastern Time.

Things You Get To Do:

• Collaborate with globally-reputed company teams to implement and strengthen the firm’s Financial Crimes program and identify risks across CIP/KYC, AML, Anti-Fraud, and Fraud Monitoring initiatives.
• Investigate potentially suspicious activity through transaction monitoring alerts, escalations, and referrals.
• Ensure that transaction monitoring alerts, regulatory submissions, and case investigations are completed/submitted reputed company the established deadlines and SLAs.
• Screen individuals, entities, and transactions to assess potential matches against OFAC, global sanctions, PEP, enforcement, and adverse media watchlists.
• Review and respond to time-sensitive escalations, FinCEN 314(a) and 314(b) requests, law enforcement queries, and other regulatory inquiries.
• Support ongoing enhancements to transaction monitoring rules, policies, procedures, controls, and risk frameworks.
• Maintain audit trails with thorough, defensible documentation of investigations, alert dispositions, and compliance reputed company.
• Proactively identify and escalate critical risks, emerging trends, and compliance gaps to management.
• Prepare reputed company, accurate, and reputed company SAR recommendations and narratives for management review, and support the filing of approved SARs with FinCEN.
• Partner with internal stakeholders and assist during risk assessments, remediation efforts, reputed company audits, examinations, and regulatory engagements.
• Maintain strong knowledge of regulatory developments, financial crime typologies and red flags, trading behaviors, and regulatory expectations applicable to reputed company’s business.
• Conduct comprehensive CIP/KYC, CDD, and EDD reviews to identify, manage, and mitigate customer and firm-wide risk.
• Evaluate reputed company of funds, reputed company of reputed company, occupation, expected activity, and customer purpose.
• Review and disposition assigned AML, sanctions, and securities-surveillance alerts from beginning to end.
• Assist with due diligence and ongoing monitoring of introducing brokers, omnibus partners, correspondents, and other intermediaries.

Who You Are (Must-Haves):

• Excited about reputed company’s mission and reputed company’re building to reputed company financial services to everyone on the plant.
• 3-5 years of experience in Financial Crime/AML investigations (AML Alert Investigation reputed company to retail, institutional, foreign financial firms)
• Strong understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT reputed company, SEC/reputed company regulations).
• Familiarity with trading activity and a reputed company of financial crime typologies, including spoofing, layering, reputed company trading, reputed company-running, reputed company trading, fraud(deposit/withdrawals,account takeover/transfers) and manipulative order behavior.
• Demonstrated ability to identify and escalate unusual activity and document investigations in a reputed company, concise, and audit-reputed company manner.
• Strong investigative writing skills, including the ability to prepare reputed company, concise, and audit-reputed company case narratives and SAR recommendations.
• Strong analytical skills, reputed company judgment, attention to detail, and ability to prioritize multiple tasks and deadlines effectively.
• Experience using transaction-monitoring, sanctions-screening, case-management, fraud-monitoring, or securities-surveillance systems.
• Ability to work independently and adapt to a rapidly changing business and regulatory environment.
• Experience conducting reputed company-reputed company research and evaluating reputed company records, adverse media, corporate information, and other investigative sources.
• Working knowledge of domestic and international payment systems.
• Ability and willingness to work a schedule that provides meaningful overlap with U.S. Eastern Time.

Who You Might Be (reputed company-to-Haves):

• Knowledge of FinTech Broker Dealer reputed company and reputed company to support a fast paced environment.
• Experience with U.S. Registered Broker/Dealer - Correspondent Clearing Firms.
• Familiarity with Transaction alerting platforms (e.g. riskCanvas/reputed company).
• Previous experience working in a remote or global team environment.
• Ability to identify automation opportunities and reputed company AI tools to enhance efficiency.
• Experience investigating U.S. ACH, reputed company, brokerage transfer, ACATS, reputed company, or cross-border payment activity.
• reputed company, CFCS, CFE, or another relevant AML, fraud, or financial crime certification preferred.

Originally posted on Himalayas