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 Anti-Money Laundering Compliance Analyst

Country: USA
Location: Phoenix AZ
Total applied: 40

Base Pay:N/A
Employee Type:Full-Time Employee

Industry:Banking - Financial Services

Manages Others:no
Anti-Money Laundering Compliance Analyst

AIG Financial Advisors, Inc. (AIGFA) is one of the nation's largest broker-dealers with $42 billion in total account assets, 2,275 affiliated independent financial advisors and more than 500 OSJ managers. Headquartered in Phoenix, AIGFA supports fee-based financial advisors with one of the most robust technology platforms and largest advisory services teams in the industry. AIGFA's dedicated business development team addresses the unique market needs of affiliated financial advisors by providing customized business solutions that achieve long-term growth objectives. AIGFA is a registered broker-dealer and SEC registered investment adviser, member NASD and SIPC, and member company of American International Group, Inc.

Position Description:
We are currently recruiting for an Anti-Money Laundering Compliance Analyst. Responsibilities include working with most aspects of Anti-Money Laundering surveillance as it relates to a broker-dealer. The Analyst will oversee the firm’s adherence to AML and Bank Secrecy Act (BSA) rules, regulations and policies and through a number of systems and programs monitor account opening and account activity to ensure that accounts are in compliance to the firms AML standards. The Compliance Analyst should be knowledgeable in both AML with understanding of Risk, Margin, and options.

You would report to the AML Compliance Manager. Specific duties will include the reconciling of possible matches of new accounts with an OFAC-SDN program, review and reconciliation of daily account activity that generates an AML rule violations, review of documentation for certain high risk accounts, answering questions from Registered Representatives on AML policies, assisting in preparation of Suspicious Activity Reports (SARs), assisting with AML educational programs to the Home Office Staff, keeping current with new AML and BSA regulations and policies, recommending modifications and improvement to AML/BSA policies, developing action plans for gaps, preparing reports for management, and determine effective data collection and analysis.
Position Requirements:
-Series 7 license is required, and 24 license is preferred. Must be able to obtain Series 24 license within 3 months of hire if candidate doesn’t already hold it.
-Bachelor's degree (B. A.) from four-year college or university in a related subject to our industry; two years related experience and/or training; or equivalent combination of education and experience.
-Proficient with Windows and MS applications such as Word, Excel and Outlook.
-Understanding of a large brokerage firm operational system.
-BSA/AML regulatory compliance would be a strong asset.

- Apply for Anti-Money Laundering Compliance Analyst

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