AML Analyst

Lead with Purpose. Partner with Impact. 

As an AML Analyst, you will proactively interact with various departments within Kestra and third-party vendors to ensure that AML-related procedures and processes are being executed within industry regulations and Kestra policies.

What You’ll Do: 

Conduct reviews and investigations into possible violations of AML policies and procedures

Answer AML and privacy questions

Execute review of alerts in firm’s Customer Identification Program (CIP)

Promptly review FinCEN client checks

Review clearing firm generated alerts and reports

Review alerts and reports generated by AML platforms (e.g. LexisNexis, Protegent, etc.) for further action or clearances.

Coordinate with AML Team to prepare and file Suspicious Activity Reports, FinCEN 314(a) and 314(b) requests.

Work with and notify team of any violations or issues due to AML activity.

Serve as a point of contact with third party vendors when a privacy breach occurs.

Coordinate with AML Team and Field to review and resolve privacy breaches-including notifications to clients and State Attorneys Generals when required.

Conduct investigations into potentially suspicious activity.

Exhibit the subject matter expertise necessary to provide key insights related to data reviews.

Identify and problem solve systemic or efficiency issues, potentially across departments.

Stay up to date with AML and privacy regulations including but not limited to: Bank Secrecy Act, the Patriot Act, OFAC Sanctions, the Fact Act, and Reg S-P

Assist management in assigned tasks.

What You Bring: 

Bachelor’s degree required or relevant work experience

2+ years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience.

Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork

Excellent written and oral communications skills

Ability to communicate and work with all associates of all levels within our organization

Ability to prioritize multiple tasks and manage projects effectively

Attention to detail and organizational skills

Ability to work independently and focus on job tasks with little hands on supervision

Ability to learn different software systems

Strong analytical skills and ability to research items in an efficient and timely manner

Software knowledge of MS Word, Excel and Outlook

CERTIFICATIONS, LICENSES, REGISTRATIONS:

Series 7 required

Series 24 required (or obtained within 90 days of employment)

Cams preferred or needs to be obtained