AML Brokerage Analyst

Dexian; United States; Remote; USD 100,000 - 125,000; Full time

Job summary

A leading staffing provider is looking for an Anti-Money Laundering Analyst. Responsibilities include conducting investigations and drafting SARs. Candidates should have over 5 years of AML experience in banking or brokerage settings, and a Bachelor's degree in a related field. This is a contract role with a competitive pay range of $40-$45 per hour.

Benefits

Medical insurance

Qualifications

• 5+ years of AML experience within financial services.
• Prior experience drafting Suspicious Activity Reports (SARs).
• Experience performing AML Transaction Monitoring investigations.

Responsibilities

• Conduct comprehensive AML investigations and prepare reports.
• Draft and review SAR for completeness and accuracy.
• Provide feedback on investigative case errors.

Skills

AML investigations

Strong analytical skills

Oral and written communication

Research skills

Education

Bachelor's degree or equivalent

Tools

MS Office

Job description

This range is provided by Dexian. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$40.00/hr - $45.00/hr

• Conducting comprehensive AML investigation investigations which includes pulling transactional data and KYC records from the bank systems, analyzing transaction information, data, researching open source and media checks, and based on this research, making a recommendation for either Suspicious Activity Reports (SAR) or no SAR.
• Drafting comprehensive and clear investigative summaries detailing findings and recommendations.
• When applicable, drafting Suspicious Activity Reports (SAR).
• Providing feedback to Investigators on case errors or inaccurate analysis.
• Verifying case investigation documentation is consistent with procedures and accurate e.g., case narratives are detailed and decisions/recommendations are well supported.
• Reviewing SAR form and narratives for completeness and accuracy and making necessary edits as needed.
• Ensuring daily production of case investigations and quality reviews goals are met and reported to Team Leads.
• Act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment.

Qualifications:

• Experience performing AML investigations in a brokerage account (with broker dealer) and retail banks.
• 5+ years of AML experience within the financial services industry.
• 3-5+ years' experience performing AML Transaction Monitoring investigations, preferably for a retail bank, drafting Suspicious Activity Reports (SARs) and/or performing quality assurance (QA). Any additional experience in Broker/dealer transaction monitoring is a plus.
• Bachelor's degree, or equivalent work experience, in areas such as financial services, investigative service, or law enforcement.
• Advanced understanding of the Bank Secrecy Act, USA Patriot Act, and other applicable laws and regulations.
• Prior experience performing AML Investigations and drafting SAR narratives.
• Experience overseeing the work of others and providing feedback, e.g., in an oversight/Quality Assurance/second level reviewer role.
• Good knowledge of MS Office.
• Strong oral and written communication skills.
• Strong analytical experience.
• Excellent research and decision-making skills.

Additional Preferred Qualifications:

• FINRA licenses including the SIE or Series 7, Series 4, Series 24 - Preferred.
• Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
• Securities trading experience in equities, bonds, options, futures contracts.
• Transaction analysis and how it relates to FINRA Red Flags and associated risk.
• Knowledgeable in the areas of research: ACAT Transfers/Rejections, Special handling, and transfers between category types (Type 1 = cash, Type 2 = Margin, Type 3 = Short, etc.).
• Back Office/Front Office Experience, including security reconciliation, Margin reconciliation, securities processing/master.

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/ to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.

**Apply right away for consideration**

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Contract

Job function

• Job function

  Analyst, Quality Assurance, and Other

• Industries

  IT Services and IT Consulting, Insurance Agencies and Brokerages, and Banking

Referrals increase your chances of interviewing at Dexian by 2x

Inferred from the description for this job

Medical insurance

Get notified about new Anti-Money Laundering Analyst jobs in United States.

KYC Onboarding Analyst – Fintech Bank – Full Remote

United States $90,000.00-$120,000.00 3 weeks ago

South Carolina, United States 2 weeks ago

United States $148,000.00-$189,000.00 6 days ago

Brokerage - AML Quality Assurance (QA) and Investigations Analyst - Contract

Winter Haven, FL $48,647.00-$77,710.00 2 weeks ago

United States $80,000.00-$125,000.00 6 days ago

New York City Metropolitan Area $140,000.00-$160,000.00 1 week ago

Asset Liability Management Analyst (ALM)

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.