Sr. AML Investigator
Back to All JobsEmployee Type
Full-Time
Location
USA (Remote)
Job Type
Financial Crimes
Job ID
3314
#WeAreTradeStation
Who We Are:
TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators.
Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey, Minnesota, Missouri, Nebraska, North Carolina, South Carolina, Tennessee or Virginia
Who we are:
TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators.
At TradeStation, we are building an AI-First culture. We expect team members to embrace AI as a core part of their daily workflow, whether that's using AI to accelerate development, enhance decision-making, improve client outcomes, or streamline internal processes. We hire, grow, and promote people who can harness AI responsibly and creatively. We treat AI as a partner in problem-solving, not just a tool; following our governance standards to ensure AI is used ethically, securely, and transparently. If you join us, you're joining a culture where AI is how we work.
Are you ready to make yourself at home?
What we are looking for:
We are looking for a Senior AML Investigator who will be responsible for conducting complex, multi -layered investigations into suspicious activity, to include suspected money laundering, structuring, layering, terrorist financing, fraud, and other financial crimes. Responsible for identifying and investigating suspicious activity in accordance with the policies and procedures of the firm's Anti-Money Laundering program, and in compliance with the USA PATRIOT Act, 31 CFR Part 1023, and FINRA 3310. Evaluate and analyze information uncovered during an investigation and make appropriate recommendations regarding Suspicious Activity Reports (SAR). 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:
- Conduct end-to-end investigations of complex, high-risk alerts generated by automated surveillance systems, referrals from business units, and law enforcement inquiries
- Analyzes client account transactions, trading activity, and behavior to detect suspicious activity and determine appropriate action
- Coordinate 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
- Act as the subject matter expert (SME) on SAR Filings and regulatory reporting requirements to include FinCEN and SROs
- Author and files SARs, ensuring quality control standards and technical aspects are compliant with applicable laws and regulations, facilitating regulatory filings or reporting requirements as required
- Leverage large data sets and analytical skills to research and investigate complex client transactions across affiliated companies
- Thoroughly document investigative reviews, alert outcomes and any other relevant processes requiring prudent recordkeeping and documentation in compliance with internal policies and applicable regulations
- Foster relationships and liaise with other departments to achieve stated company goals efficiently and effectively
- Assist in the preparation of regulatory responses, management certifications, and examination workpapers.
- Other duties as necessary in support of the overall Financial Crimes program
The Skills You Bring: Deep understanding of AML regulations, security industry typologies and FINRA/SEC compliance Experience using various software tools designed for AML compliance and transaction monitoring Proficiency in all Microsoft Office Suite and BSA E-Filing Portal 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 5+ years of BSA/AML operations and compliance experience Desired Qualifications:
- Certified Anti-Money Laundering Specialist (CAMS)
- Certified Fraud Examiner (CFE)
- Certified Financial Crimes Specialist (CFCS)
- Securities industry licenses, Series 3 and 7
Benefits at TradeStation
- ○Collaborative work environment
- ○Competitive Salaries
- ○Yearly bonus
- ○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 education materials
- ○Pay Range (US) $100-110K (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.