Sr. Analyst, Regulatory Advisory Compliance (Fraud and AML)

Role Summary

Analyzes and responds to complex issues related to suspected criminal activity. Collaborates with business partners to investigate high-risk accounts that are deemed suspicious and require expertise and research. Conducts training to ensure best practices around activity monitoring and detection are used throughout the organization. Implements process improvements.

Responsibilities

• Researches and gathers information for escalated alerts related to suspicious activity monitoring. Reviews findings prepared by more junior staff for quality and to provide guidance or implement solutions.
• Identifies gaps in systems and processes and develops recommendations for business-wide control improvements.
• Collaborates with internal stakeholders to obtain all information needed to address concerns, close open, items and resolve issues. Responsible for handling complex issues that require more in-depth research or technical expertise.
• Monitors transactions for suspicious behavior, identifies and analyzes new patterns and trends. Monitors, suggests, and supports implementation of new rule sets, methods, or detection mechanisms to refine internal suspicious activity monitoring and ensure continued validity and effectiveness of fraud detection and prevention.
• Demonstrates a strong understanding of established rules, processes, and guidelines. Supports development and implementation of training as needed. Recommends best practices and partners to implement process improvements internally and with external business partners.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 5+ years of total relevant work experience

Preferred:

• 2+ years of relevant compliance experience in financial crimes, AML, fraud, or suspicious activity investigations
• Strong analytical and investigative skills with the ability to identify suspicious patterns and trends
• Strong written and verbal communication skills, including investigative documentation and narrative writing
• Sound judgment and ability to make risk-based decisions in a fast-paced environment
• Demonstrated independence and accountability, with the ability to manage complex investigative work with limited guidance.
• Familiarity with retail, brokerage, or retirement products
• Ability to collaborate effectively across multiple groups/levels of management within compliance, legal, operations, and business teams
• Ability to meet multiple and strict deadlines
• Knowledge of BSA/AML, SAR, KYC/CIP, and OFAC requirements

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.  

Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).