Compliance - AML Analyst

The Compliance - AML Analyst is responsible for conducting thorough investigations and reviews to ensure compliance with Anti-Money Laundering (AML) regulations. This role requires intermediate professional experience and operates with a high degree of autonomy, contributing to the strategic goals of the compliance team

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily:

• Perform AML investigations and transaction reviews with minimal supervision.
• Prepare and file Suspicious Activity Reports (SARs) and respond to FinCEN requests.
• Collaborate with internal departments and third-party vendors to gather and analyze data.
• Stay current with AML regulations and industry best practices.
• Recommend process improvements and contribute to compliance strategy.

KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, individual should have the following skills and abilities:

• Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork
• Excellent written and oral communications skills
• Ability to communicate and work with all associates of all levels within our organization
• Ability to prioritize multiple tasks and manage projects effectively
• Attention to detail and organizational skills
• Ability to work independently and focus on job tasks with little hands on supervision
• Ability to learn different software systems
• Strong analytical skills and ability to research items in an efficient and timely manner
• Software knowledge of MS Word, Excel and Outlook

SUPERVISORY RESPONSIBILITIES: None

EDUCATION AND/OR EXPERIENCE:

• Bachelor’s degree required or relevant work experience
• 2 years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Series 7 required
• Series 24 required (or obtained within 90 days of employment)
• CAMS certification preferred

PHYSICAL DEMAND: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Ability to sit at a computer for long periods of time in office environment well lit.
• Ability to lift up to 20 pounds.
• Position is located in Austin, TX office. Must be able to work in the office during scheduled work hours.

OTHER DUTIES: Please note this job description is not designed to cover or contain a complete comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.