AML Analyst

Lead with Purpose. Partner with Impact. 

As an AML Analyst, you will proactively interact with various departments within Kestra and third-party vendors to ensure that AML-related procedures and processes are being executed within industry regulations and Kestra policies.

What You’ll Do: 

• Conduct reviews and investigations into possible violations of AML policies and procedures
• Answer AML and privacy questions
• Execute review of alerts in firm’s Customer Identification Program (CIP)
• Promptly review FinCEN client checks
• Review clearing firm generated alerts and reports
• Review alerts and reports generated by AML platforms (e.g. LexisNexis, Protegent, etc.) for further action or clearances.
• Coordinate with AML Team to prepare and file Suspicious Activity Reports, FinCEN 314(a) and 314(b) requests.
• Work with and notify team of any violations or issues due to AML activity.
• Serve as a point of contact with third party vendors when a privacy breach occurs.
• Coordinate with AML Team and Field to review and resolve privacy breaches-including notifications to clients and State Attorneys Generals when required.
• Conduct investigations into potentially suspicious activity.
• Exhibit the subject matter expertise necessary to provide key insights related to data reviews.
• Identify and problem solve systemic or efficiency issues, potentially across departments.
• Stay up to date with AML and privacy regulations including but not limited to: Bank Secrecy Act, the Patriot Act, OFAC Sanctions, the Fact Act, and Reg S-P
• Assist management in assigned tasks.

What You Bring: 

• Bachelor’s degree required or relevant work experience
• 2+ years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience.
• Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork
• Excellent written and oral communications skills
• Ability to communicate and work with all associates of all levels within our organization
• Ability to prioritize multiple tasks and manage projects effectively
• Attention to detail and organizational skills
• Ability to work independently and focus on job tasks with little hands on supervision
• Ability to learn different software systems
• Strong analytical skills and ability to research items in an efficient and timely manner
• Software knowledge of MS Word, Excel and Outlook

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Series 7 required
• Series 24 required (or obtained within 90 days of employment)
• Cams preferred or needs to be obtained