DirectJobHub
Jobs · Nebraska

Anti-Money Laundering (AML) Quality Control Analyst

Osaic · La Vista, NE · 2 wk ago
$65k–$75k/yrFull-time

Location(s): Atlanta, GA | La Vista, NE | Oakdale, MN | Scottsdale, AZ | St. Petersburg, FL

Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of the listed hubs and must be willing to work this schedule.

About the Role

The Anti-Money Laundering (“AML”) Quality Control (“QC”) Analyst will support the QC Manager for AG, primarily focusing on Ladenburg Thalmann (“LT”). They will utilize specialized training to fulfill QC team requirements in compliance with relevant AML rules and regulations. Responsibilities include continuous review of case investigations and dispositions, ensuring proper documentation and satisfactory resolution of issues.

Responsibilities

  • Perform the QC function 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 maintain a solid understanding of quality requirements for regulator appeasement.
  • Utilize a wide variety of resources (public and non-public) to 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 within a related field.
  • Strong verbal and written communication skills.
  • A considered approach when dealing with Analysts and business partners.
  • Ability to organize and manage multiple work efforts.
  • Extensive knowledge of FINRA, SEC, and Firm-specific rules and regulations.
  • Experience with 314(a) and 314(b) regulations and SAR filings.
  • Proficiency in MS Office applications (Word, Excel, Access).
  • Strong organizational skills and ability to work within strict timeframes.
  • Ability to interpret regulatory manuals, notices, and internal policies.
  • Knowledge of retail brokerage, fee-based advisory business, and common investment products (e.g., mutual funds, variable annuities, stocks, bonds).

Qualifications

  • Bachelor’s Degree preferred; H.S. Diploma or GED + significant practical experience will be considered.
  • CAMS or equivalent (CFCS) certification preferred.

Pay

$65,000 - $75,000 per year + annual bonus. Actual compensation will be 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.

Schedule

Full-time, hybrid schedule requiring a minimum of 4 days per week in the office.

Similar jobs