Brokerage AML QA Analyst

KPMG•Charlotte, NC

56d•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 QA Analyst Please note: candidates with EDD/KYC and Fraud experience are not a fit for this role. We are looking for seasoned investigator candidates capable of conducting case investigations and performing QA reviews on a team of investigators.

Requirements

Experience performing AML investigations in a brokerage account (with broker dealer) and retail banks.
5+ years of AML experience within the financial services industry.
3-5+ years' experience performing AML Transaction Monitoring investigations, preferably for a retail bank, drafting Suspicious Activity Reports (SARs) and/or performing quality assurance (QA). Any additional experience in Broker/dealer transaction monitoring is a plus.
Bachelor's degree, or equivalent work experience, in areas such as financial services, investigative service, or law enforcement.
Advanced understanding of the Bank Secrecy Act, USA Patriot Act, and other applicable laws and regulations.
Prior experience performing AML Investigations and drafting SAR narratives.
Experience overseeing the work of others and providing feedback, e.g., in an oversight/Quality Assurance/second level reviewer role.
Good knowledge of Microsoft Office.
Strong oral and written communication skills.
Strong analytical experience.
Excellent research and decision-making skills.
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

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.

Responsibilities

Conducting comprehensive AML investigation investigations which includes pulling transactional data and KYC records from the bank systems, analyzing transaction information, data, researching open source and media checks, and based on this research, making a recommendation for either Suspicious Activity Reports (SAR) or no SAR.
Drafting comprehensive and clear investigative summaries detailing findings and recommendations.
When applicable, drafting Suspicious Activity Reports (SAR).
Providing feedback to Investigators on case errors or inaccurate analysis.
Verifying case investigation documentation is consistent with procedures and accurate e.g., case narratives are detailed and decisions/recommendations are well supported.
Reviewing SAR form and narratives for completeness and accuracy and making necessary edits as needed.
Ensuring daily production of case investigations and quality reviews goals are met and reported to Team Leads.
Act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment.

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