Senior BSA/AML Associate & New Accounts 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

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.