Osaic · 6 hours ago
Osaic Institutions AML CIU Analyst
Oakdale, MN
Full-time
Hybrid
Entry, Mid Level
$70K/yr - $80K/yr
1+ years expOsaic is a company specializing in financial services, and they are seeking an AML CIU Analyst. The role involves conducting customer onboarding validation and review processes, including KYC and due diligence requirements, while maintaining confidentiality and compliance with relevant regulations.
Business DevelopmentFinancial ServicesWealth Management
Responsibilities
Conduct CIP screening and verification utilizing relevant systems
Conduct adverse media client screening
Review and escalation of various matters notified and escalated to the AML Group, by various facets of the business, with respect to the due diligence process
Perform Client Due Diligence testing and review utilizing internal and third-party research tools
Perform Enhanced Due Diligence for High-Risk clients utilizing internal and third-party research tools
Metrics gathering and escalation
Work with advisors and supervisors to gather information and documentation required to resolve matters
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
Maintain a high level of confidentiality in all dealings with internal and external stakeholders
Maintain currency in laws and regulations concerning anti-money laundering violations
Qualification
Required
Minimum of high school diploma or equivalent is required
1 – 3 years of securities industry experience
1 – 3 years conducting CIU type activities
Strong verbal and written communication skills are required
A solid and considerate approach when dealing with business partners
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
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
Much more
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
2026-01-23
Investment News
2026-01-22
Company data provided by crunchbase