Client Risk Analyst in Plantation, FL at TradeStation

Date Posted: 9/23/2022

Job Snapshot

Job Description

Client Risk Analyst
Plantation, FL
Who We Are:
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.
What We Are Looking For:
The Client Risk Analyst is responsible for performing the controls in support CIP/KYC/EDD compliance program that aligns with the Financial Crimes Compliance program and the risk management structure of the affiliated entities.   Reporting to the Client Risk Manager, this individual will be responsible for partnering across the first line of defense to implement controls and overseeing the second line of defense in performing the appropriate controls and verification in support of the risk framework, policies and standards.  This position monitors, tests, investigates activities around the onboarding and management of clients of the entities.
What You’ll Be Doing:
  • Perform customer due diligence and enhanced due diligence reviews for customers from all business segments
  • Ensure compliance with all BSA/AML requirements related to Customer Due Diligence, the CDD Rule, and KYC/KYA, and Enhanced Due Diligence requirements for all customer types
  • Perform CRM operations with strong operational acumen, with focus on efficiency, internal controls, effectiveness, and process improvements, leveraging automation, performance metrics and management reporting
  • Partner with IT, BSA Leaders, BSA Compliance, and Business Segments on projects/initiatives related to New Products and Services, CRM (Actimize, Case Manager, Salesforce/CRM, etc.) and Model Management (Customer Risk Scoring - KYC, KYA risk factors)
  • Partner on audit reviews, regulatory exams, and review CRM responses for requested information and records.
  • Ensure colleagues are adequately trained based on their job responsibilities and corresponding job functions are adequately staffed.
  • Prepare and deliver presentations to management, audit, regulators, and other stakeholders as needed
The Skills You Bring:
  • Ability to collaborate and partner effectively with stakeholders and peers in IT, BSA/AML and OFAC Operations, Compliance, Model Risk Management, etc.
  • Knowledge of BSA/AML systems (SAS, Actimize, MTS, CSI WATCHDOG, etc.)
  • Proven problem-solving
Minimum Qualifications:
  • Bachelor’s college degree preferred and 7-10+ years of compliance experience required
  • Minimum of 1-3 years of BSA/AML and OFAC operations and compliance experience
  • Knowledge and experience in CDD/EDD, CIP, BO/CP compliance/operations
  • Series 3, and 7 required within 6 months of hire
Desired Qualifications:
  • Certified Fraud Examiner
What We Offer:
  • Collaborative work environment
  • Competitive Salaries
  • Yearly bonus and generous 401k plan
  • Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan!
  • Unlimited Paid Time Off
  • Flexible working environment
  • TradeStation Account employee benefits