Senior Investigator in Plantation, FL at TradeStation

Date Posted: 6/20/2022

Job Snapshot

Job Description

Senior Investigator
Plantation, FL
At TradeStation, we believe in empowering our customers to claim their individual financial edge. We are committed to creating a financial ecosystem that is a step ahead by delivering the best technology, services, education, and support to traders and investors. We are continuously pushing the boundaries of what is possible, encouraging out-of-the-box thinking and a relentless search for innovation.
We are a team of amazing people who work together in a high-performance, goal-oriented culture to provide our customers with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits, and an unlimited PTO policy.


POSITION SUMMARY:

Serve as an AML Senior Investigator in TradeStation Securities, Inc.’s (“TradeStation Securities”) Financial Crimes Department with an emphasis on investigations referred from all departments across the affiliated companies. Candidate will be responsible for identifying and investigating suspicious activity in support and fulfillment of Anti-Money-Laundering/Bank Secrecy Act (AML/BSA) regulatory requirements. Candidate will analyze customer account transactions to detect suspicious activity and decide on appropriate actions; evaluate and analyze information uncovered during investigations and make appropriate recommendations regarding the filing of Suspicious Activity Reports (SAR); and serve as a subject-matter-expert and assist less experienced team members.
ESSENTIAL JOB FUNCTIONS:
  • Analyzes customer account transactions and trading activity to detect suspicious activity and decides on appropriate action. Works cooperatively with internal departments, other financial institutions and local, state, or federal authorities to obtain and analyze necessary information to investigate suspicious activities.
  • Ensures risks (internal and external) identified during investigations are effectively identified, documented, and properly escalated
  • Works cooperatively with various business lines to establish procedures for identifying suspicious customer transactions specific to money laundering, including the proper method for referring such activity to the financial crimes group.
  • Files Suspicious Activity Reports (“SARs”).
  • Assists with ensuring quality control standards and technical aspects of SAR filings are compliant with regulatory guidelines.
  • Prepares investigative reports for management.
  • Assists with departmental tracking and reporting.
  • Ensures the monitoring system software captures all investigations accurately.
  • Assists in the implementation of AML/BSA detection and prevention methods, such as training and instruction manuals.
  • Provides needed support for special projects or critical casework as requested.
  • Exercises sound judgment and observes the highest degree of confidentiality in the handling of information received in the course responsibilities.
  • Performs other related duties as required.
KNOWLEDGE, SKILLS & ABILITIES:
  • Knowledge of BSA/AML/OFAC/KYC laws
  • Experience with AML and Financial Crimes investigations
  • Considerable experience drafting SAR narratives and reports
  • Knowledge of transaction monitoring solutions (Actimize experience a plus)
  • Experience with blockchain analysis and forensics or VASP transactions
  • Strong interpersonal, analytical, writing and communication skills
EDUCATION & EXPERIENCE:
  • 5-7 years’ relevant work experience
  • Brokerage experience and/or Crypto exchange/VASP experience
  • Series 3, 7, and 24 licenses (required within 6 months of hire)
  • CAMS, CFE, or similar AML Certification (preferred)