AML Broker Investigator

KPMG • New York, NY

59d • Remote

About The Position

KPMG Assignment Select is geared toward independent professionals interested in temporary or project-based work. Our team is comprised of highly trained third-party professional individuals who are in the right place, at the right time, with the right skillset. KPMG is working through its partnership with MBO Partners and is currently seeking a remote contractor in the United States. Brokerage AML Investigator Please note: Candidates with EDD/KYC and Fraud experience are not a fit for this role. Looking for seasoned investigator candidates that will be able to conduct case investigations.

Requirements

• US banking experience is a must.
• FINRA licenses including the SIE or Series 7, Series 4, Series 24 - Preferred.
• Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
• Securities trading experience in equities, bonds, options, futures contracts.
• Transaction analysis and how it relates to FINRA Red Flags and associated risk.
• Knowledgeable in the areas of research: ACAT Transfers/Rejections, Special handling, and transfers between category types (Type 1 = Cash, Type 2 = Margin, Type 3 = Short, etc.).
• Back Office/Front Office Experience, including security reconciliation, margin reconciliation, securities processing/master.
• Experience performing AML investigations in a brokerage account (with broker-dealer) and retail banks.
• Minimum 5 years Business & Functional Experience.
• Minimum 3 years experience with AML, transactional analysis of data, Anti-Money Laundering (AML) signals, structuring, and experience writing Suspicious Activity Reports (SARs).
• Bachelor's degree, or equivalent work experience, in areas such as financial services, investigative service, or law enforcement.
• Experience performing AML investigations work in a bank or financial institution.
• Must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. KPMG LLP will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).

Nice To Haves

• Experience in retail banking is nice to have but not required.

Responsibilities

• Perform analysis of transactional data for suspicious activity, fraudulent transactions, and money laundering patterns.
• Pull transactional records from bank systems, conduct internal/external research on customers.
• Investigate findings to determine if the case can be closed or escalated for suspicious activity reporting (SAR).
• Draft SAR narratives.
• Manage and complete a daily/weekly number of cases provided to clear.
• Report on daily production completion to Team Leads.
• Act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment.

What This Job Offers

• Career Level: Mid Level
• Industry: Professional, Scientific, and Technical Services
• Number of Employees: 5,001-10,000 employees