Compliance Analyst - AML

Cetera • Dallas, TX

2d • $67,000 - $97,000

About The Position

Gather and analyze applicable information and resources to ensure Firms’ Anti-Money Laundering policies and procedures, as well as all applicable laws and regulations are followed. Review and analyze daily files related to Customer Identification Programs, monitor client account activity for unusual activity, execute client reviews required under Bank Secrecy Act and document findings.

Requirements

• Involved in one or more of the following activities to ensure compliance with Firms’ AML policy and all applicable laws and regulations:
• Effective written and oral communication skills with all levels within the organization
• High School Diploma or GED required.
• Minimum 3 years of compliance or banking operations experience required.
• Minimum 3 years of general office or accounting experience required.
• Analytical skills that can recognize fraudulent items and items that merit more detailed review.
• Excellent customer service skills and ability to deal with elite clients.
• Proven critical thinking and strong time management skills.
• Ability to multi-task while maintaining a high level of quality and efficiency.
• General knowledge of bank operations and wire processing.
• Ability to plan and prioritize job assignments.
• Ability to communicate effectively orally and in writing.
• Excellent organizational skills and detail oriented.
• Requires good knowledge of wire payment processes and related legal/regulatory requirements.
• High level of quality/quantity of work and customer service.
• Strong analytical skills, ability to resolve routine to complex problem/issues independently and take initiative on new assignments.
• Thorough knowledge of compliance related functions.
• Thorough knowledge of applicable regulatory requirements.
• Good knowledge of Outlook and Microsoft Office applications.

Responsibilities

• Review and investigate daily requests related to Customer Identification Programs (CIP). Maintain documentary of evidence of CIP related searches.
• Review and communicate discrepancies related to AML policies and procedures to AML Manager.
• Analyze exception reports related to Office of Foreign Asset Controls (OFAC) review and utilize systems to address identified exceptions.
• Perform necessary regulatory inquiries related to Financial Crimes Enforcement Network (FinCEN).
• Review daily exception reports and communicate with financial advisers on any unusual or suspicious activity.
• Review and detect variances in policies and regulations through systems and reports.
• Support supervisory and operations personnel to address questions or concerns related to AML and CIP activity.
• Take active part in the review, monitoring, testing and verification of our Firm policies and procedures.
• Perform the required Customer Due Diligence reviews to help determine customer risk profiles.
• Perform research as requested on customer accounts.
• Other duties as assigned

Benefits

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED