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Title

AML Analyst 

Division CUSO Financial Services, L.P.  
Position AML Compliance Analyst  
Location San Diego, CA  
Full-Time/Part-Time Full-Time  
Description

The AML Analyst performs surveillance, monitoring and control reviews to ensure compliance with firm policies and applicable regulations, including the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets Control (OFAC) programs. Provides cross-BD support to other entities in the Atria Wealth Solutions (AWS) Enterprise.

PRINCIPAL DUTIES AND RESPONSIBILITES:

  • Assists in developing, implementing, maintaining and enhancing anti-money laundering policies, procedures, and controls
  • Monitors and advises on emerging BSA/AML compliance issues
  • Reviews AML exception reports and conducts account surveillance and investigations of potential violations of AML regulations and related procedures
  • Responsible for FinCEN 314(b) inquiries
  • Participates in AML training initiatives and provides AML guidance to financial professionals and back office employees
  • Conducts reviews or escalated KYC and Customer Identification Program issues
  • Reviews and investigates alerts and/or financial professional referrals for potentially suspicious activity and documents associated research and resolution
  • Responsible for OFAC oversight, including dispositions of potential OFAC list matches
  • Responsible for drafting and filing SARs
  • Enforces firm policy on low priced and cannabis related business securities
  • Investigates and tracks data breach referrals
 
Position Requirements

EDUCATION, SKILLS, AND EXPERIENCE:

  • Bachelor's degree or equivalent job experience required
  • Five years' experience in a broker dealer setting
  • AML and/or Compliance/Risk experience preferred
  • FINRA Series 7 and 24 (or willingness to obtain)
  • Certified Anti-Money Laundering Specialist (CAMS) designation is a plus
  • Proficient in Microsoft Office Suite
  • Experience with LexisNexis Bridger XG and Actimize is a plus
 

This position is currently not accepting applications.

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