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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,



• 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 




• 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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