Our client, a highly recognized Broker-Dealer firm is currently seeking an Anti-Money Laundering (AML) Analyst to join their team. This is a dynamic opportunity to work at the intersection of investment banking and compliance.
Responsibilities of this position will include:
- Conducting surveillance of securities transactions and client account reviews to identify suspicious activities and red flags.
- Collaborating with the Chief AML Officer and compliance team to identify and mitigate risks.
- Drafting Suspicious Activity Reports (SARs) and assisting with AML risk assessments.
- Collaborating with the Investment Banking team to address AML-related inquiries and perform client due diligence.
- Aiding Account Opening team to identify risk factors for new accounts.
- Partnering with Operations to maintain and test customer identification programs.
- Managing relationships with vendors to ensure client screening systems are operating effectively and data remains accurate.
- Performing compliance testing and work with internal teams to resolve issues.
For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.
- Bachelor’s degree in Finance or related field
- 3+ years of experience in AML compliance
- FINRA Licenses (SIE and Series 7) required
- MS Excel proficiency
- Excellent analytical and communication skills