[Hiring] Sr. AML Investigator @TradeStation

Role Description

We are looking for a Senior AML Investigator who will be responsible for conducting complex, multi-layered investigations into suspicious activity, including:

• Suspected money laundering
• Structuring
• Layering
• Terrorist financing
• Fraud
• Other financial crimes

Responsibilities include:

• Identifying and investigating suspicious activity in accordance with the firm's Anti-Money Laundering program.
• Ensuring compliance with the USA PATRIOT Act, 31 CFR Part 1023, and FINRA 3310.
• Evaluating and analyzing information uncovered during investigations and making recommendations regarding Suspicious Activity Reports (SAR).
• Preparing clear and concise reports detailing unusual activity detected.
• Exercising mature decision-making regarding products and types of transactions.
• Escalating abnormalities as required by policy.

Qualifications

• Deep understanding of AML regulations, security industry typologies, and FINRA/SEC compliance.
• Experience using various software tools designed for AML compliance and transaction monitoring.
• Proficiency in all Microsoft Office Suite and BSA E-Filing Portal.
• Good problem-solving skills with the ability to determine cause and suggest solutions.
• Solid writing and analytical skills.
• Strong time management and prioritization skills.
• Ability to identify potential regulatory compliance issues or deviations from internal policies and procedures and escalate to management.
• Must exhibit the highest standards of integrity and maintain confidentiality.

Requirements

• Bachelor’s Degree from a four-year college/university or equivalent work experience.
• 5+ years of BSA/AML operations and compliance experience.

Desired Qualifications

• Certified Anti-Money Laundering Specialist (CAMS).
• Certified Fraud Examiner (CFE).
• Certified Financial Crimes Specialist (CFCS).
• Securities industry licenses, Series 3 and 7.

Benefits

• Collaborative work environment.
• Competitive Salaries.
• Yearly bonus.
• Comprehensive benefits for you and your family starting Day 1.
• Unlimited Paid Time Off.
• Flexible working environment.
• TradeStation Account employee benefits, as well as full access to trading education materials.
• Pay Range (US) $100-110K (Countries outside of the US have differing ranges in accordance with local labor markets).