StPetersburgRecruiter Since 2001
the smart solution for St. Petersburg jobs

AML Manager, FIU

Company: Advisor Group
Location: Saint Petersburg
Posted on: September 12, 2019

Job Description:

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, where necessary.
  • 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 activity.
  • 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 required
      • Negative News disposition and escalation experience
      • Transaction Monitoring/ Case Management System experience, Actimize, Mantas etc.
      • A solid and considered 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 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

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Other Executive Jobs

Pain Management Physician (Physician #)
Description: br Seeking BE/BC Pain Management Physician: Bilingual STRONGLY PREFERRED br br --- Join an existing solo provider --- Office Space
Company: Spot On Recruiting, Inc.
Location: Orlando
Posted on: 09/24/2019

Sr. Agile Project Manager
Description: Our client a leading Financial Services Company seeking a Sr. Agile Project Manager in Tampa, FL Duration: 1 year plus renewable contract - W2 only Minimum qualifications 5 years Project Management (more...)
Company: ZAR technology
Location: Tampa
Posted on: 09/24/2019

Account Manager
Description: Account Manager br Do you thrive in a fast-paced, dynamic environment br Do you envision yourself working for an organization that provides innovative IT solutions to leading financial institutions (more...)
Location: Apopka
Posted on: 09/23/2019

Director of Sales and Marketing
Description: Coakley Williams Hotel Management Company is seeking an experienced Director of Sales Marketing for the new HILTON GARDEN INN WINTER PARK which will open in March 2020. This is a great opportunity (more...)
Company: Coakley & Williams Hotel Management
Location: Winter Park
Posted on: 09/24/2019

Assistant General Manager - Space
Description: The Opportunity Join Patina Restaurant Group as we search the universe for associates to launch a spaced-themed restaurant, opening later this year at Epcot at Walt Disney World Resort. The restaurant's (more...)
Company: Delaware North
Location: Orlando
Posted on: 09/24/2019

Neurology Residency Clinic Director Physician Job near Orlando, Florid
Description: Neurology Residency Program Director Job Near Orlando, Florida A hospital in partnership with a large university is searching for a BC Neurologist to become Director of the
Company: HDA MD Staff
Location: Orlando
Posted on: 09/23/2019

Project Manager
Description: SUMMARY: The Project Manager is responsible for coordinating and managing all necessary resources throughout the entire project, from start-up through closeout. The PM shall ensure that expectations and (more...)
Company: Nassal
Location: Orlando
Posted on: 09/23/2019

Account Manager ll - Hunter
Description: About CenturyLink br br CenturyLink NYSE: CTL is the second largest U.S. communications provider to global enterprise customers. With customers in more than 60 countries and an intense focus on (more...)
Company: CenturyLink
Location: Tampa
Posted on: 09/24/2019

Tire Automotive Store Manager
Description: Tire Automotive Store Manager Requirements Candidates must have a valid drivers license, available
Company: Confidential
Location: Orlando
Posted on: 09/24/2019

Student Marketeer - Student Brand Manager - University of Central Florida
Description: In 1987, Red Bull not only launched a completely new product, it created and has led ever since a whole new product category, Energy Drinks. Nowadays Red Bull employs more than 11500 people in over 171 (more...)
Company: Red Bull North America
Location: Orlando
Posted on: 09/24/2019

Log In or Create An Account

Get the latest Florida jobs by following @recnetFL on Twitter!

St. Petersburg RSS job feeds