AML Risk & Compliance Analyst

Socket.dev; Dallas (TX); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health, Dental, Vision, Life Insurance

Paid Time Off & Holidays

401(k) company match

Parental leave

Health Savings Account

Employee Assistance Program

Job summary

Cetera Financial Group is seeking an AML Compliance Analyst to gather and analyze information ensuring adherence to AML policies and applicable laws. Responsibilities include CIP review documentation, discrepancy communication to the AML Manager, and addressing OFAC/FinCEN inquiries.

The role supports ongoing CIP activity and customer due diligence to assess risk profiles. Strong analytical, communication, and organizational skills are essential, with 3+ years in compliance or banking operations

Qualifications

• Minimum 3 years of compliance or banking operations experience.
• Minimum 3 years of general office or accounting experience.
• High School Diploma or GED required.
• Ability to interpret AML policies and regulatory requirements.

Responsibilities

• Gather and analyze information to ensure AML policies and regulations are followed.
• Review CIP requests and maintain documentation of CIP searches.
• Review and communicate discrepancies to the AML Manager.
• Analyze OFAC exception reports and coordinate resolutions.
• Perform regulatory inquiries related to FinCEN as needed.
• Review daily exception reports and flag unusual activity to financial advisers.
• Support review and monitoring of Firm policies and CIP activity.
• Perform Customer Due Diligence reviews to determine customer risk profiles.
• Communicate clearly with colleagues at all levels to resolve issues.
• Assist with questions or concerns related to AML compliance.

Skills

Analytical skills

Customer service

Critical thinking

Time management

Communication skills

Attention to detail

Organization

Outlook & Office

Regulatory knowledge

Education

High School Diploma or GED

Tools

Outlook

Microsoft Office

Job description

Cetera Financial Group is seeking an AML Compliance Analyst to gather and analyze information ensuring adherence to AML policies and applicable laws. Responsibilities include CIP review documentation, discrepancy communication to the AML Manager, and addressing OFAC/FinCEN inquiries.

The role supports ongoing CIP activity and customer due diligence to assess risk profiles. Strong analytical, communication, and organizational skills are essential, with 3+ years in compliance or banking operations