AML Senior Investigator in Plantation, FL at TradeStation

Date Posted: 4/4/2021

Job Snapshot

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Job Description

AML Senior Investigator
Plantation, FL

TradeStation is an on-line brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  We have built a team of amazing people who work together in a high-performance culture to provide our clients with exceptional products and services.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.

We are currently seeking an AML Senior Investigator who will serve as a team member in TradeStation Securities, Inc.’s (“TradeStation Securities”) Anti-Money Laundering (“AML”) Group, with an emphasis on cryptocurrency transaction and wallet surveillance and investigations associated with affiliated company TradeStation Crypto, Inc (“TradeStation Crypto”). The position will be responsible for administration of the crypto surveillance procedures and systems designed to detect and prevent potentially suspicious activity. The Senior Investigator will also conduct extensive research, analysis, transaction monitoring and AML investigations to conform to TradeStation Securities’ written policies and procedures.

  • Conduct cryptocurrency blockchain surveillance reviews to identify potentially suspicious activity; engage directly with TradeStation Securities and TradeStation Crypto’s Chief AML Officer on alert escalations to determine the final course of action
  • Conduct AML investigations on alerted activities and file Suspicious Activity Reports (“SARs”)
  • Lead the ongoing monitoring of AML/Sanctions risk associated with cryptocurrency trading activities (including reviewing and processing pending cryptocurrency deposits and withdrawals)
  • Ensure compliance with the AML Compliance Programs of both regulated affiliates
  • Review and update, as necessary, rules and regulations applicable to both regulated affiliates’ AML Compliance Programs
  • Assist team management with surveillance implementation projects and issue resolution by performing data analysis and testing as requested
  • Identify and escalate any issues that impact the quality of the surveillance alerts
  • Appropriately assess and manage risk associated with business decisions, demonstrating particular consideration for the reputational and regulatory risk by driving compliance with applicable laws, rules, and regulations, adhering to policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
  • Knowledge of BSA/AML/OFAC/KYC laws
  • Knowledge of Blockchain Analysis solutions (Chainalysis, Elliptic, etc.)
  • Knowledge of transaction monitoring solutions (preferred)
  • SAR filing knowledge (preferred)
  • Proficient in MS Word, Excel & Outlook
  • Strong interpersonal, analytical, writing and communication skills
  • Self-motivated, dependable, adaptable, and detailed-oriented
  • 5-7 years’ relevant work experience
  • Brokerage experience and/or Crypto exchange/OTC desk experience
  • Series 3, 7, and 24 licenses (preferred)
  • CAMS, CFE, or similar AML Certification (preferred)