Anti-Money Laundering (AML) Quality Control Analyst

Locations: Atlanta, GA; La Vista, NE; Oakdale, MN; Scottsdale, AZ; St. Petersburg, FL

This is a full-time, hybrid role requiring a minimum of 4 days weekly in the office. Applicants must be located at one of the listed hubs.

About the role

The Anti-Money Laundering (AML) Quality Control (QC) Analyst will support the QC Manager, primarily focusing on Ladenburg Thalmann (LT). The role involves utilizing specialized training to ensure compliance with AML rules and regulations, including reviewing case investigations, scoring analyst work, monitoring trends, and providing feedback or training as needed.

Responsibilities

• Perform QC functions for the AML Group, including reporting and metric delivery to the QC Supervisor.
• Identify development areas for Analysts and provide training to baseline understanding and quality of output.
• Act as a knowledge source to guide Analysts and ensure cases are properly detailed and addressed.
• Develop and maintain a solid understanding of quality requirements for regulator appeasement.
• Utilize public and non-public resources to fully develop the QC Program.
• Maintain confidentiality in all dealings with internal and external stakeholders.
• Stay current with laws and regulations pertaining to anti-money laundering violations.
• Perform all other duties as assigned.

Requirements

• 3+ years of securities industry experience.
• Minimum 2 years of financial crime experience preferred, including Investigations and Monitoring.
• Strong verbal and written communication skills.
• Ability to organize and manage multiple work efforts with a considered approach when dealing with Analysts and business partners.
• Extensive knowledge of FINRA, SEC, and Firm-specific rules and regulations.
• Experience with 314(a) and 314(b) regulations and Suspicious Activity Reports (SARs).
• Proficiency in MS Office applications (Word, Excel, Access).
• Strong organizational skills and ability to work within strict timeframes.
• Ability to interpret the Firm’s Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation.
• Knowledge of the retail brokerage business, fee-based advisory business, and common investment products (e.g., mutual funds, variable annuities, alternative investments, stocks, bonds).

Qualifications

• Bachelor’s Degree preferred; High School Diploma or GED with significant practical experience will be considered.
• CAMS or equivalent (CFCS) certification preferred.

Pay

$65,000 - $75,000 per year + annual bonus. Actual compensation is determined based on location, skills, licensure, experience, and education.

Benefits

• Health, vision, and dental insurance.
• 401k retirement plan.
• Paid time off and volunteer days.
• Additional benefits available; visit Osaic’s careers page for details.