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Broker-Dealer Sr. AML/BSA Investigator

Location : Tampa FL
Job Type : Direct
Reference Code : GR-TPA
Hours : Full Time
Required Years of Experience : 3-5
Required Education : Bachelors Degree
Travel : No
Relocation : No


There is an exciting opportunity for a large International Bank in Tampa seeking a Broker-Dealer Sr. AML/BSA Investigator with Broker Dealer, investment, wealth management, or securities experience. Duties include Investigations & Surveillance, responsible for supporting obligations related to Anti-Money Laundering (AML), clearing alerts, and completing high-risk reviews. The bank offers an attractive pay, excellent benefits, great work-life balance and opportunity to work with a dynamic team.


 


Broker-Dealer Sr. AML/BSA Investigator,


 


Description:


• Responsible for conducting investigations into potentially suspicious transactions 


• Conduct investigations into suspicious or unusual transactions occurring in the investment bank, retail brokerage and trust businesses 


• Prepare Suspicious Activity Reports (SAR) for presentation to senior management and submission to law enforcement. Ensure that the reports are complete, accurate and filed in a timely manner 


• Investigate surveillance alerts generated on both institutional, retail brokerage and trust business 


• Provide financial crime advisory services to institutional and retail business management partners 


• Liaise with the firm compliance personnel across product lines to ensure unusual and suspicious activity is properly escalated and investigated 


• Assist with AML transactional surveillance initiatives including routine optimization of surveillance scenarios 


• Participate in data mining and targeted review projects 


 


 



Qualifications:


• Four-year college degree or international equivalent 


• 3+ years of investment bank/broker-dealer experience in AML, surveillance or due diligence including investigations, BSA, KYC, OFAC, EDD and CDD reviews


• Microsoft Office experience (data manipulation, pivot tables, charts, PowerPoint, etc.) 


• Series 7 registered and 66 preferred  


• Demonstrated knowledge of brokerage industry products and services 


• Experience in Compliance, Risk, Operations or Audit 


• Articulate with exceptional writing skills 


• Attention to detail with strong analytical skills, strong excel skills


• Ability to work independently and meet deadlines


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