AML Optimization/ Governance Sr. Analyst

Compliance Opportunity in Financial Services

AML (Anti-Money Laundering) Optimization/ Governance Sr. 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: $90,000 - $100,000 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") Optimization/ Governance Sr. Analyst will be primarily responsible for ensuring periodic reviews of the Firm's transaction monitoring rule scenarios, and oversight of the AML Groups' policies and standards governance responsibilities.

Additional responsibilities may include risk assessment, record keeping governance, management information, and investigations overflow if necessary.

Responsibilities:

• Work with our transaction monitoring vendor and the FIU Manager to conduct periodic system rule tuning exercises and to ensure the detection rules are optimized further to business risk footprint.
• Provide oversight and management of AML/FCM policies and standards governance to ensure documentation is comprehensive and adheres to regulatory requirements.
• Assist the AML Officer, QC and Client Intelligence Unit (CIU) Managers to review and or develop and deliver AML Program trainings for all business line stakeholders.
• Partner with AML and Risk to conduct the Annual AML and OFAC Risk Assessment.
• Compile and deliver monthly AML and OFAC management reporting to the Chief AML Officer
• Manage AML and OFAC Program recordkeeping and retention requirements.
• Assist with the annual audit to compile materials relevant to the assessment of the Bank's AML and OFAC Program.
• Work closely with the Managers to execute other strategic initiatives, process improvements and program enhancements for AML and OFAC

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
• ACAMS preferred

Requirements:

• 1 - 3 years of securities industry experience
• Strong verbal and written communication skills are required
• Transaction Monitoring Systems experience, Actimize, Mantas, etc. with exposure to tuning rule scenarios.
• A solid and considerate approach when dealing with business partners
• General compliance knowledge - must have 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