AML Investigator & Compliance Analyst

Kestra Financial; Austin (TX); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

401(k)

Health insurance

Tuition reimbursement

Training & development

Job summary

Kestra Financial is seeking an AML Analyst to partner with multiple teams to ensure AML and privacy procedures comply with regulations and Kestra policies. You will review alerts, conduct investigations, and coordinate with vendors to file SARs and FinCEN requests.

The role requires 2+ years in analytics in financial services, Series 7/24, strong communication, and proficiency with MS Word, Excel, and Outlook. Bachelor's degree preferred; a collaborative, detail‑oriented mindset is essential.

Qualifications

• 2+ years in an analytical role within a broker/dealer environment or 3 years of industry experience
• Bachelor’s degree required or relevant work experience
• Series 7 required
• Series 24 required (or obtained within 90 days of employment)
• Strong written and oral communication skills
• Ability to prioritize multiple tasks and manage projects effectively
• Attention to detail and organizational skills
• Ability to learn different software systems
• Strong analytical skills and ability to research items efficiently
• Experience with AML and privacy regulations a plus

Responsibilities

• Conduct reviews and investigations into possible violations of AML policies and procedures
• Answer AML and privacy questions
• Execute review of alerts in firm’s CIP
• Review FinCEN client checks and alerts from AML platforms
• Coordinate with AML Team to prepare and file SARs, FinCEN 314(a) and 314(b) requests
• Serve as a point of contact with third party vendors for privacy breaches
• Investigate potentially suspicious activity and identify systemic issues
• Stay up to date with AML and privacy regulations (Bank Secrecy Act, Patriot Act, OFAC, etc.)
• Assist management with assigned tasks

Skills

Analytical mindset

Broker/Dealer experience

Communication

Attention to detail

Independent work

Team collaboration

Education

Bachelor’s degree

Tools

MS Word

Excel

Outlook

Job description

Kestra Financial is seeking an AML Analyst to partner with multiple teams to ensure AML and privacy procedures comply with regulations and Kestra policies. You will review alerts, conduct investigations, and coordinate with vendors to file SARs and FinCEN requests.

The role requires 2+ years in analytics in financial services, Series 7/24, strong communication, and proficiency with MS Word, Excel, and Outlook. Bachelor's degree preferred; a collaborative, detail‑oriented mindset is essential.