Role details

Senior Broker-Dealer AML Investigator

New York   •   USD120,000   •  Permanent

Bullet points

  • Top Tier Foreign Bank
  • Fantastic growth potential with exciting and varied duties

About Our Client

My client is a leading foreign financial services firm that have a global presence. They have a significant presence in New York and have excellent career opportunities and are recruiting a Senior Broker-Dealer AML Investigator.

Job Description

The successful Senior Broker-Dealer AML Investigator will:

  • Research names and accounts provided by various reports and lists through various sources to investigate money laundering, terrorist financing, and broker-dealer alert activity
  • Evaluate transactions and/or customer relationship for money laundering based on red flags and escalate for further investigations
  • Knowledge of broker-dealer rules, red flags, and areas of regulatory focus
  • Have familiarity with appropriate techniques including research utilizing banking systems, intranet, internet and other vendor solutions as needed
  • Communicate within the team and with other business units
  • Effectively convey key points to internal customers as well as the capability to communicate to communicate to external customers as appropriate
  • Assist in the preparation of reports as required
  • Maintain awareness of BSA advisories, trends, web sites, and articles related to money laundering

The Successful Applicant

You must have the following qualifications:

  • BA/BS; Advanced degree preferred; Legal background a plus
  • 3 to 5 years of professional work experience; preferably in a compliance, legal, banking, or business environment;
  • 1+ year Broker-Dealer Investigation experience (this is non-negotiable)
  • Actimize experience
  • Experience of rule setting for Actimize (preferred)
  • Professional Certification preferred (CAMS, CFE, CFS, etc.)

What's on Offer

Competitive base + bonus + benefits

Apply for this job

Click the Apply or LinkedIn button below or contact Grant Hall quoting job reference 1206202
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