AML Analyst, FIU
Company: Advisor Group
Location: Saint Petersburg
Posted on: September 14, 2019
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 Services
AML (Anti-Money Laundering) FIU Analyst
Keys: financial crimes, Investigations, suspicious activity
877 Executive Center Drive West, Saint Petersburg, Florida
The Anti-Money Laundering (AML) Investigations Analyst will be
responsible for monitoring and investigating transactions for
potentially suspicious activity, conducting investigations, and
preparing Suspicious Activity Reports (SARs), as required. Duties
will also include, but are not limited to, screening client and
payee records against the OFAC, and 314(a) lists and reviewing
daily/weekly/monthly/ quarterly reports. The analyst will also
conduct thorough research and investigations involving various
types of securities products and activity. The analyst will
interact with colleagues at various levels throughout the Firm,
advisors and supervisors in the field, and with our clearing firms
to conduct thorough investigations into potentially suspicious
- 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.
- 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.
- Identify and escalate matters containing potentially suspicious
activity or 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
- 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
- 5+ years of securities industry experience
- 2-3 years conducting investigations into financial crime (e.g.
money laundering and fraud)
- Strong verbal and written communication skills are
- Transaction Monitoring System experience, Actimize, Mantas,
- A solid and considerate 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
- CAMS or equivalent (CFCS)
- FINRA Series 7 is a plus
- CFE Certification is a plus
Keywords: Advisor Group, St. Petersburg , AML Analyst, FIU, Professions , Saint Petersburg, Florida
Didn't find what you're looking for? Search again!