AML Manager, FIU
Company: Advisor Group
Location: Saint Petersburg
Posted on: September 12, 2019
Location: St. Petersburg
Current Employees and Contractors Apply Here
Advisor Group Careers
Our strengths, combined with the collective strengths of our
advisors, provide powerful momentum to meet the next generation of
challenges and opportunities.Be a part of the team behind our
success!--At Advisor Group, we support more than 7,000 financial
advisors, the people who help everyday Americans achieve their
dreams. Were a billion-dollar business with the mentality and drive
of a startup. Join us in building something special.Financial
Intelligence Unit Opportunity in Financial ServicesAML (Anti-Money
Laundering) FIU ManagerKeys:------ manager, financial crimes,
Investigations, suspicious activity, transaction
monitoringLocation:877 Executive Center Drive West, Saint
Petersburg, Florida 33702Summary:The Anti-Money Laundering (AML)
contributing FIU Manager will be hands on in nature and will be
responsible for overseeing the monitoring and investigating team
charged with reviewing transactions for potentially suspicious
activity, conducting investigations, and preparing Suspicious
Activity Reports (SARs). Duties will also include, but are not
limited to, management of 314(a) and 314(b) item requests and
reviewing daily/weekly/monthly/ quarterly reports.-- The FIU
Manager will also conduct thorough research and investigations,
where necessary, involving various types of securities products and
activity, and also act as a leader to other Analysts. The
individual be the escalation point for matters and will interact
with colleagues at various levels throughout the Firm, including
advisors and supervisors in the field; and with our clearing firms
to conduct thorough investigations into potentially suspicious
activity. --The individual will report directly into the Chief AML
Officer (CAMLO).Core Responsibilities:
- Manage the FIU and modify the team/infrastructure/process,
- Perform supervisory activities, including coaching individuals
and assisting with their performance issues, as necessary.
- Oversee the 314(a) process.
- Handle 314(b) items in a timely manner.
- Provide training as necessary.
- Involvement in the hiring of staff.
- Identify and investigate potentially suspicious activity, as
identified utilizing relevant systems and matters, notified and
escalated to the AML Group, by various facets of the business.
- Annual review and implementation of procedures, policies, and
processes as necessary.
- Respond to regulatory inquiries in a timely manner
- Conduct and document thorough reviews of relevant
- Complete SARs timely and to a high standard.
- Work with advisors and supervisors to gather information and
documentation required to resolve matters.
- Produce periodic metrics for the CAMLO in a timely manner.
- Perform client due-diligence reviews utilizing internal and
third-party research tools.
- Utilize a wide variety of resources, both public and
non-public, to fully investigate matters involving possible
financial criminal activity.
- Maintain a high level of confidentiality in all dealings with
both internal and external stakeholders.
- Maintain currency in laws and regulations pertaining to
anti-money laundering violations.
- All other duties as assigned Education Requirements:
- Bachelors 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.-- Basic Requirements:
- 5+ years of securities industry experience
- 3+ years within a regulated investigations function, specific
to financial crime (e.g. money laundering and Fraud)
- 3 years management/supervisory experience
- Strong verbal and written communication skills are
- Negative News disposition and escalation experience
- Transaction Monitoring/ Case Management System experience,
Actimize, Mantas etc.
- A solid and considered approach when dealing with business
- 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,
- Strong organizational skills and the ability to work within
- Ability to interpret the Firms 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
- Ability to travel Preferred Requirements:
- CAMS or equivalent (CFCS)
- FINRA Series 7 is a plus
- CFE Certification is a plus
Current Employees and Contractors Apply Here
Keywords: Advisor Group, St. Petersburg , AML Manager, FIU, Executive , Saint Petersburg, Florida
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