Advisor Talent Solutions · 1 day ago
AML& Anti-Fraud Analyst
San Diego, CA
Full-time
Onsite
Mid Level
$60K/yr - $80K/yr
3+ years expMadison Avenue Securities is an independent broker-dealer and registered investment advisor focused on financial integrity. The AML & Anti-Fraud Analyst will monitor transactions, detect suspicious patterns, and ensure compliance with regulatory requirements to protect customers from financial threats.
AdviceConsultingStaffing Agency
Responsibilities
Conduct thorough investigations into allegations of anti-money laundering or fraud made against the company, registered representatives, Investment Advisor Representatives (IARs), and clients
Utilize analytical tools and techniques to detect suspicious patterns and behaviors within financial data
Investigate and analyze alerts generated by transaction monitoring systems, conducting in-depth research to determine the legitimacy of flagged activities
Investigate issues related to vulnerable adults, consulting with internal stakeholders and custodians as necessary
Ensure business adherence to SEC and FINRA policies and procedures regarding AML and Anti-Fraud compliance
Prepare and submit Suspicious Activity Reports (SARs) in accordance with regulatory guidelines and deadlines
Provide support during the annual AML risk assessment process
Stay informed of evolving regulatory requirements, industry trends, and best practices in AML and fraud detection, incorporating relevant updates into our compliance processes
Qualification
Required
Three plus years of experience in regulatory oversight and AML compliance within the financial services industry
Comprehensive knowledge of laws, regulations, and legislative processes related to AML and Anti-Fraud requirements and controls
Proficiency in Bank Secrecy Act (BSA) and AML reporting requirements mandated by FinCEN and other regulatory agencies
Strong analytical skills with the ability to make sound judgments independently, even with limited or incomplete information
Detail-oriented with a commitment to accuracy and thoroughness in conducting investigations and documenting findings
Exceptional written and verbal communication skills, with the ability to interact with individuals at all levels of the organization
Capacity to deliver high-quality work under strict regulatory or management deadlines
Proactive mindset with the ability to work independently and collaboratively in a fast-paced, dynamic environment
Preferred
Bachelor's degree in Finance, Business Administration, or a related field
Professional certification such as Certified Anti-Money Laundering Specialist (CAMS)
Benefits
Benefits including medical, dental, vision and 401k (with matching options)
Generous PTO package upon your start date
Company
Advisor Talent Solutions
Advisor Talent Solutions (ATS) partners with independent financial advisors to help them build strong, high-performing teams.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase