AML CIU Analyst

Client Intelligence Unit Opportunity in Financial Services

AML (Anti-Money Laundering) CIU Analyst

Preferred Location(s): St. Petersburg, FL and Atlanta, GA

2300 Windy Ridge Parkway, Atlanta, GA 30339
877 Executive Center Drive West, St. Petersburg, FL 33702
7755 Third Street North, Oakdale, MN 55128
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Remote applicants may potentially be considered for this role.

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.

Role Type: Full-Time

Salary: $60,000 - $70,000 per year + annual bonus

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.
• To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits

Summary:

The Anti-Money Laundering ("AML") CIU Analyst will be responsible for working on the customer onboarding validation and review process, including analysis, documentation collection and verification, pertinent to individual and entity-based client relationships. Duties will also include but are not limited to; screening and reviewing clients for relevant Know Your Client ("KYC") Customer Identification Program ("CIP")/ Customer Due Diligence rule ("CDD") and Enhanced Due Diligence ("EDD") requirements. The analyst will interact with colleagues at various levels throughout the Firm, advisors and supervisors in the field, and with our clearing firms to conduct thorough investigations into potentially suspicious activity.

Responsibilities:

• Conduct CIP screening and verification utilizing relevant systems
• Review and escalation of various matters notified and escalated to the AML Group, by various facets of the business, with respect to the due-diligence process.
• Perform Client Due Diligence testing and review, utilizing internal and third-party research tools.
• Perform Enhanced Due Diligence for High-Risk clients utilizing internal and third-party research tools.
• Metrics gathering and escalation.
• Work with advisors and supervisors to gather information and documentation required to resolve matters.
• Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or matters that may pose a higher risk to the Firm.
• Work with other teams on the formulation of all facts and documents relevant to Suspicious activity reporting (SAR's). Utilize a wide variety of resources, both public and non-public, to fully investigate matters involving possible financial criminal activity.
• Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
• Maintain currency in laws and regulations pertaining to anti-money laundering violations.

Education Requirements:

• Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered in lieu of a degree.
• Minimum of high school diploma or equivalent is required.

Requirements:

• 3 years of securities industry experience
• 1-3 years conducting related functions within a Broker Dealer or Bank.
• Strong verbal and written communication skills are required
• Relevant systems experience
• A solid and considered approach when dealing with business partners
• General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
• Proficiency in MS Office applications (Word, Excel, Access)
• Strong organizational skills and the ability to work within strict timeframes
• Ability to interpret the Firm's Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation, and internal policies and procedures
• Knowledge of the retail brokerage business, fee-based advisory business and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds

Preferred Requirements:

• CAMS or equivalent (CFCS)
• FINRA Series 7
• CFE Certification