Brokerage AML Investigator

Job Summary

A company is looking for a Brokerage AML Investigator.

Key Responsibilities

• Analyze brokerage transactional data for money laundering patterns and suspicious activity
• Research clients and trading activity using internal and external sources
• Draft clear and accurate SAR narratives and meet case closure quotas

Required Qualifications

• US banking experience required; brokerage-specific AML strongly preferred
• Minimum 5 years of business/functional experience, including 3+ years in AML investigations with SAR writing
• Knowledge of FINRA rules, securities products, and AML red flags in trading environments
• Experience with equities, bonds, options, futures, margin accounts, and securities reconciliation
• Bachelor's degree required