AML Analyst

About the role

Kestra Financial is seeking an AML Analyst to join our team. The ideal candidate will have a strong commitment to our culture and values, and a proven track record in analytical roles within a broker/dealer environment.

Responsibilities

• Conduct reviews and investigations into possible violations of AML policies and procedures
• Answer AML and privacy questions
• Execute review of alerts in firm’s Customer Identification Program (CIP)
• Promptly review FinCEN client checks
• Review clearing firm generated alerts and reports
• Review alerts and reports generated by AML platforms (e.g. LexisNexis, Protegent, etc.) for further action or clearances
• Cook up Suspicious Activity Reports, FinCEN 314(a) and 314(b) requests
• Coordinate with AML Team and Field to review and resolve privacy breaches-including notifications to clients and State Attorneys Generals when required
• Conduct investigations into potentially suspicious activity
• Exhibit the subject matter expertise necessary to provide key insights related to data reviews
• Identify and problem solve systemic or efficiency issues, potentially across departments
• Stay up to date with AML and privacy regulations including but not limited to: Bank Secrecy Act, the Patriot Act, OFAC Sanctions, the Fact Act, and Reg S-P
• Assist management in assigned tasks

Requirements

• Bachelor’s degree required or relevant work experience
• 2+ years’ experience in an analytical role within a broker/dealer environment or 3 years of industry experience

Qualifications

• Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork
• Excellent written and oral communications skills
• Ability to communicate and work with all associates of all levels within our organization
• Prioritize multiple tasks and manage projects effectively
• Attention to detail and organizational skills
• Ability to work independently and focus on job tasks with little hands on supervision
• Learn different software systems
• Strong analytical skills and ability to research items in an efficient and timely manner

Skills

• Software knowledge of MS Word, Excel and Outlook

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

Pay

Competitive salary and benefits package

Schedule

Full-time position

Benefits

• Health insurance
• 401(k)
• Competitive benefits package

Skills

• Series 7 required
• Series 24 required (or obtained within 90 days of employment)

Internal Application Policy

Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

Company Culture

Our mission is to empower independent financial professionals to grow their businesses and deliver exceptional client service. We believe in serving, making things happen, and working as one team.

Equal Opportunity Employer

We are committed to ensuring equal employment opportunities without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law.