AML Associate/ New Accounts Team Lead

Stephens Inc.; Little Rock (AR); On-site; USD 90,000 - 130,000; Full time

Job summary

Stephens Inc. seeks a senior BSA/AML Compliance Specialist to oversee daily CIP/KYC activities, supervise the New Accounts team, and ensure regulatory compliance.

You will review surveillance alerts, investigate suspicious activity, and assist with regulatory filings and program testing in a fast-paced environment. You will lead a team under the BSA/AML Officer, mentoring staff, driving risk-based client due diligence, and maintaining strict confidentiality and accuracy.

Qualifications

• Bachelor's degree in a related field and 4+ years of relevant experience.
• SIE, Series 7, Series 63, and CAMS certifications required (CAMS to be obtained within 6–12 months).
• Strong analytical, communication, and organizational abilities; attention to detail.

Responsibilities

• Review surveillance alerts and investigate potentially suspicious activity in support of BSA/AML compliance.
• Lead Customer Due Diligence (CDD) and Customer Identification Program (CIP) activities; verify identities and assess risk.
• Oversee the New Accounts team; ensure accurate and compliant account openings per regulatory requirements.
• File SARs/SFs when warranted; conduct regulatory filings and program testing.
• Perform annual internal testing of reports and surveillance systems; propose improvements.
• Interview, hire, train, and supervise team members in collaboration with the BSA/AML Officer.

Skills

Verbal communication

Written communication

Attention to detail

Analytical thinking

Process management

Independence

Organizational skills

Collaboration

Education

Bachelor's degree in a related field

Equivalent combination of education and experience

Tools

Microsoft Office Suite

Job description

Working closely with the BSA/AML Officer, this position reviews surveillance alerts, investigates potentially suspicious activity, assists with regulatory filings and program testing, and conducts customer due diligence. The role also leads the Compliance New Accounts team, overseeing daily CIP/KYC activities and helping ensure new accounts are opened accurately, efficiently, and in accordance with regulatory requirements.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Monitor latest BSA/AML and Sanctions Regulations, Trends, & Industry Guidance to ensure compliance.
• Customer Due Diligence – gather publicly available information on clients to help Stephens better understand potential risk to the firm.
• Customer Identification Program – gather, review, and/or provide due diligence, as required, to reasonably verify a customer’s identity.
• Surveillance and Monitoring – use an automated system to monitor and review account activity for possible suspicious activity in accordance with Stephens’ program and determine whether to resolve the item or refer the item for further investigation.
• Investigate referrals of possible suspicious activity within a designated timeframe to determine if the activity warrants appropriate regulatory filings.
• File SAR-SFs if required.
• Annual internal testing of reports and surveillance systems.
• Perform any other related duties as required or assigned.
• New Accounts and Administrative Support
• Carries out team lead responsibilities in accordance with the organization's policies and applicable laws.
• Responsibilities in conjunction with BSA/AML Officer may include but not limited to interviewing, hiring and training employees; planning, assigning and directing work; appraising performance, rewarding and disciplining employees; addressing complaints and resolving problems.

EDUCATION AND/OR EXPERIENCE

• Bachelor's degree in a related field.
• 4+ years of related experience and/or training.
• Equivalent combination of education and experience.

KNOWLEDGE, SKILLS, AND ABILITIES

• Excellent verbal, written and organizational skills and strong attention to detail.
• Self-motivated with the ability to work independently in a fast-paced environment.
• Ability to prioritize and handle multiple tasks simultaneously.
• Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action.
• Process management skills.
• Establish and maintain effective working relationships at all levels of the organization.
• Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required.
• Ability to maintain confidentiality.
• Demonstrated reliability in attendance and work performance.
• Ability to work independently as well in collaborative settings.
• Attention to detail with emphasis on accuracy and quality.

CERTIFICATIONS, LICENSES, AND REGISTRATIONS(must obtain within 6-12 months of hire)

• SIE - Securities Industry Exam
• Series 7 – General Securities Representative.
• Series 63 - State Law Exam.
• Certified Anti-Money Laundering Specialist (CAMS) certification

Qualifications

Skills

Behaviors

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Motivations

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Education

Experience

Licenses & Certifications

Required

HIPAA Training

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.