AML Quality Control Analyst - Compliance & Training

Osaic; United States; Remote; USD 65,000 - 75,000; Full time

Job summary

Osaic seeks an experienced AML QC Analyst to support the QC Manager for AG, mainly related to Ladenburg Thalmann. You will use specialized AML training to review investigations, ensure detailed case documentation, and allocate scores.

You’ll monitor results, address accuracy issues, and escalate to QC supervision with actionable feedback. The role requires securities experience, strong communication, and the ability to guide Analysts while maintaining regulatory compliance.

Qualifications

• 3+ years of securities industry experience.
• Minimum 2 years of financial crime experience preferred, including investigations and monitoring.
• Strong knowledge of FINRA, SEC and firm-specific rules.
• 314(a) and 314(b) experience.
• SAR experience is a plus.
• Proficiency in MS Word, Excel, and Access.

Responsibilities

• Work the QC function for the AML Group.
• Reporting and metric delivery to QC Supervisor.
• Identify development areas for Analysts.
• Training of individuals to baseline understanding and quality of output.
• Maintain confidentiality with internal and external stakeholders.
• Stay current with AML laws and regulations.

Skills

Verbal & written communication

Multitasking

Regulatory knowledge

314(a)/314(b) experience

SAR experience

MS Office

Organizational skills

Education

Bachelor's Degree Preferred

HS Diploma or GED

Tools

MS Office

Job description

Osaic seeks an experienced AML QC Analyst to support the QC Manager for AG, mainly related to Ladenburg Thalmann. You will use specialized AML training to review investigations, ensure detailed case documentation, and allocate scores.

You’ll monitor results, address accuracy issues, and escalate to QC supervision with actionable feedback. The role requires securities experience, strong communication, and the ability to guide Analysts while maintaining regulatory compliance.