Financial Crimes Prevention Analyst in Plantation, FL at TradeStation

Date Posted: 6/26/2020

Job Snapshot

  • Employee Type:
    Full-Time
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    6/26/2020

Job Description

Financial Crimes Prevention Analyst
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.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
We are seeking a Financial Crimes Prevention Analyst for TradeStation Securities, Inc.'s (“TradeStation”) Financial Crimes Prevention Group (“FCPG”), with an emphasis on trade surveillance. The position is primarily responsible for implementation and oversight of the trade surveillance system designed to detect and prevent behaviors that may violate industry rules and regulations or internal policies and procedures. The Analyst will also conduct extensive investigations into potentially manipulative equities, options and futures trading activity, as well as to monitor compliance with FCPG policies & procedures.
ESSENTIAL JOB FUNCTIONS:
  • Conduct trade surveillance reviews intended to identify potential instances of rule violations, market abuse, market manipulation, or suspicious activity
  • Engage directly with relevant business personnel on alert escalations to determine the final course of action
  • Conduct Fraud and AML investigations on alerted activities and file Suspicious Activity Reports, if appropriate
  • Ensure compliance with the AML and FCPG Compliance Programs
  • Review rules and regulations applicable to TradeStation's AML and FCPG Compliance Programs
  • Assist FCPG 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
  • Assist with related duties associated with TradeStation affiliates, including cryptocurrency activities
KNOWLEDGE, SKILLS & ABILITIES:
  • Knowledge of securities, futures and money transmitter (cryptocurrency) compliance laws, rules, regulations, risks and typologies, with an emphasis on how the various asset classes are traded.
  • Knowledge of BSA/AML/OFAC/KYC regulations as they apply to higher risk accounts such as institutional accounts, private banking, foreign correspondent accounts (USA PATRIOT Act Section 312) and PEPs
  • Experience filing SARs (preferred)
  • Proficient in MS Word, Excel and Outlook
  • Knowledge of Actimize preferred
  • Strong interpersonal, analytical, writing and communication skills
  • Self-motivated, dependable, adaptable, and detailed-oriented
  • Demonstrated knowledge in area of focus
EDUCATION & EXPERIENCE:
  • Bachelor’s degree
  • 7 or more years of work experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
  • Series 3, 7, and 24 licenses preferred
  • CAMS, CFE, or similar AML Certification preferred