AML Broker Investigator

TEKsystems•Dallas, TX

1d•$45 - $55•Hybrid

About The Position

Conduct complex anti-money laundering investigations within Broker Dealer and Wealth Management businesses. The role focuses on identifying and investigating suspicious activity involving securities transactions, high-net-worth clients, and potential financial misconduct while ensuring regulatory compliance and timely SAR decisioning. Investigations may involve securities trading, insider trading, market abuse, hedge funds, and ETRADE accounts, with cases generally focused on suspected client misconduct rather than fraud. Investigators analyze customer activity, transaction patterns, KYC information, and adverse media; prepare investigative summaries and SAR recommendations within regulatory timeframes; and communicate with business stakeholders and clients to obtain additional information. They use Actimize, LexisNexis, CLEAR, and internal client information systems. Case volumes vary according to complexity, averaging 0–4 SAR cases per week. Onboarding includes structured training, live and recorded instruction, and job shadowing; approximately 3–4 months are required to reach full productivity. All SARs receive 100% Quality Assurance review, with additional sampling of non-SAR case closures.

Requirements

10 or more years of AML investigations experience.
Prior experience in a Broker Dealer, Wealth Management, Securities, Investment Banking, or Investment Firm environment.
Strong understanding of securities-related financial crimes, including suspicious trading and insider trading investigations.
Experience handling complex investigations involving affluent or high-net-worth clients.
Excellent communication skills and the ability to engage tactfully with clients and business partners.

Nice To Haves

Law enforcement, regulatory, or financial crimes investigative background.
Bachelor's degree and certifications are strongly preferred.

Responsibilities

Investigate AML alerts and cases involving securities trading, insider trading, market abuse, and other suspicious activities.
Conduct detailed investigations involving high-net-worth and institutional clients, including hedge funds and ETRADE accounts.
Analyze customer activity, transaction patterns, KYC information, and adverse media findings to assess potential financial crime risk.
Prepare clear investigative summaries and SAR recommendations within regulatory timeframes.
Communicate with business stakeholders and clients when additional information is required.
Use Actimize, LexisNexis, CLEAR, and internal client information systems to support investigations.