AML Supervisor - St. Petersburg
Company: Advisor Group
Location: Saint Petersburg
Posted on: October 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.Client
Intelligence Unit Opportunity in Financial ServicesAML (Anti-Money
Laundering) Client intelligence Unit SupervisorKeys:------
financial crimes, CIU, CIP, CDD, EDD, Onboarding, Screening,
suspicious activityLocation:877 Executive Center DR W Suite 300.
Saint Petersburg, FloridaSummary:The Anti-Money Laundering (AML)
Client Intelligence Unit (CIU) Supervisor will utilize their
knowledge and specialized training to implement and oversee the
Know Your Client (KYC) requirements in compliance with relevant AML
rules and regulations. Relevant components would include but not be
limited to, the Client Identification Program (CIP) the Customer
due diligence (CDD) rule and Enhanced Due Diligence (EDD)
requirements, therein.Organizational Structure:The Advisor Group
network of independent broker-dealers is among the largest in the
United States. The four broker-dealers that comprise Advisor Group
are: FSC Securities Corporation, Royal Alliance Associates,
SagePoint Financial, and Woodbury Financial Services.This position
will be part of the newly formed CIU and established Anti-Money
Laundering Compliance department with direct report to the Chief
AML Officer (CAMLO). with less than 10% travel required.Core
- This will be a working role until relevant infrastructure is
implemented and deployed.
- Manage and oversee the Client Intelligence Unit and
- Manage and oversee the customer onboarding verification process
and documentation collection and validation, as well as the EDD
process for new and existing high-risk customers.
- Participate on the interviewing and hiring of additional
- Act as a leader to guide, review, and assign duties to
- Manage any escalation process between the CIU and the
- Construct analytics reports for Senior Management and the
- Develop and deploy policies and procedures as necessary.
- Escalate potentially suspicious activity to the Investigations
team, as necessary.
- Conduct and document thorough reviews of relevant
- Interact with vendors as necessary.
- 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 matters 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 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:
- 3+ years of securities industry experience
- 3-5 years within a related job/ field.
- Strong verbal and written communication skills are
- A solid and considered approach when dealing with business
- The ability to organize and formulate a team.
- 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 Preferred Requirements:
- Management/supervisory experience.
- 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 Supervisor - St. Petersburg, Other , Saint Petersburg, Florida
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