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:

We are looking for a Financial Crimes Analyst who will conduct ongoing suspicious activity and compliance monitoring, to include financial transactions, sanctions, adverse media, enforcement actions, and politically exposed persons (PEP). Conducts analysis in accordance with the policies and procedures of the firm, and in compliance with the USA Patriot Act and FINRA 3310.  You will monitor client activity through the use of automated monitoring software, manual alert reports, referrals and investigating customer transaction patterns to identify unusual customer activity. Additionally, preparation of clear and concise reports detailing unusual activity detected, exercise mature decision making regarding the products and types of transactions and escalate abnormalities as required by policy.

What You’ll Be Doing:

• Assist in managing daily alerts populations across multiple screening platforms
• Review and analyze alerting behaviors to identify potential trends and provide recommendations for tuning and improved screening effectiveness
• Assist in coordinating with responsible parties to ensure compliance with applicable laws and regulations, facilitating regulator filings or reporting requirements as required
• Leverage large data sets and analytical skills to research and investigate client transactions across affiliated companies
• Thoroughly document investigative reviews, alert outcomes and any other relevant processes requiting prudent recordkeeping and documentation in compliance with internal policies and applicable regulations
• Foster relationship and liaise with other departments to achieve stated company goals efficiently and effectively
• Identify and monitor customers and accounts that represent an increased risk; analyze high-risk products, behaviors or characteristics across the entire client relationship that may present undue risk to the firm
• Other duties as necessary in support of the overall Financial Crimes program

The Skills You Bring:

• Proficient in all Microsoft Office applications and Microsoft SharePoint
• Good problem-solving skills with the ability to determine cause and suggest solutions
• Solid writing and analytical skills
• Strong time management and prioritization skills
• Ability to identify potential regulatory compliance issues or deviations from internal policies and procedures and escalate to management
• Must exhibit the highest standards of integrity and maintain confidentiality

Minimum Qualifications:

• Bachelor’s Degree from a four-year college/university or equivalent work experience
• 3-6 years of BSA/AML and OFAC operations and compliance experience

Desired Qualifications:

• Certified Fraud Examiner
• ACAMS
• Series 7

What We Offer:

• Collaborative work environment
• Competitive Salaries
• Yearly bonus and generous 401k plan (or pension plan in Costa Rica)
• Comprehensive benefits for you and your family starting Day 1
• Unlimited Paid Time Off
• Flexible working environment
• TradeStation Account employee benefits, as well as full access to trading educational materials
• Pay Range (US) $94-104K. (Countries outside of the US have differing ranges in accordance with local labor markets)

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.

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