Osaic · 10 hours ago
Osaic Institutions AML FIU Analyst
Scottsdale, AZ
Full-time
Hybrid
Mid Level
$70K/yr - $80K/yr
3+ years expOsaic is a financial services company seeking an AML FIU Analyst to monitor and review transactions for potentially suspicious activity. The role involves conducting investigations, preparing Suspicious Activity Reports, and collaborating with colleagues and supervisors to resolve matters effectively.
Business DevelopmentFinancial ServicesWealth Management
No H1B
Responsibilities
Identify and investigate the potentially suspicious or fraudulent activity, as identified utilizing internal systems or matters escalated to the AML Group by various areas of the business
Conduct and document thorough reviews of assigned escalated or alerted activity
Complete SARs to a high standard, adhering to regulatory requirements and internal procedures
Work with financial advisors and supervisors to gather relevant information and documentation required to resolve matters
Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or issues that may pose a higher risk to the Firm in a timely manner
Utilize a wide variety of public and non-public resources to thoroughly investigate matters involving possible financial criminal activity and/or fraud
Maintain a high level of confidentiality in all dealings with internal and external stakeholders
Maintain currency in laws and regulations about anti-money laundering violations
Qualification
Required
Minimum of high school diploma or equivalent is required
3 years of securities industry experience
3 years conducting investigations into financial crime (e.g., money laundering and fraud)
Strong verbal and written communication skills are required
Transaction Monitoring System experience, Actimize, Mantas, etc
A solid and considerate approach when dealing with business partners
Strong SAR writing and case disposition capabilities
General compliance knowledge - must have extensive 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 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
Preferred
Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree
CAMS or equivalent (CFCS)
FINRA Series 7 is a plus
CFE Certification is a plus
314(a) and 314(b) experience a plus
Benefits
Health
Vision
Dental insurance
401k
Paid time away
Volunteer days
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
Investment News
2026-01-22
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