Anti-Money Laundering (AML) Quality Control Analyst

Advisor Group•Atlanta, GA

1d•Hybrid

About The Position

The Anti-Money Laundering (AML) Quality Control (QC) Analyst will support the QC Manager for AG. Mainly with respect to Ladenburg Thalmann (LT) but as needed, they will utilize their knowledge and specialized training to work components of the QC team requirements in compliance with relevant AML rules and regulations. Relevant aspects would include, but not be limited to, continuous review of case investigations/ dispositions and ensuring cases are properly detailed with items satisfactorily addressed. Reviewing samples of Analyst work for accuracy and completeness of review with resulting score allocation. Monitoring results and trends for addressing accuracy and issues with individuals, and escalation to the QC Supervisor, providing feedback and advising training as necessary.

Requirements

3+ years of securities industry experience
Minimum 2 years of financial crime experience preferred, including Investigations and Monitoring within a related job/field.
Strong verbal and written communication skills are required
A solid and considered approach when dealing with Analysts and business partners
The ability to organize and manage multiple work efforts
General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
314(a) and 314(b) experience
SAR experience
Proficiency in MS Office applications (Word, Excel, Access)
Strong organizational skills and the ability to work within strict timeframes
Ability to interpret the Firm’s Sales Practice Manual, 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

Nice To Haves

CAMS or equivalent (CFCS)

Responsibilities

Work the QC function for the AML Group.
Reporting and metric delivery to QC Supervisor.
Identification of development areas for Analysts.
Training of individuals in order to baseline understanding and quality of output.
Act as a source of knowledge to guide Analysts.
Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program
Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
Maintain currency in laws and regulations pertaining to anti-money laundering violations.
All other duties as assigned