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Compliance Opportunity in Financial Services

Anti-Money Laundering (AML) Quality Control Analyst

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $65,000 - $75,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Creative/Benefits.

Summary:

The Anti-Money Laundering ("AML") Quality Control ("QC") Analyst will support the QC Manager for AG. Mainly with respect to Ladenburg Thalmann ("LT") but as needed, they will utilize their knowledge and specialized training to work components of the QC team requirements in compliance with relevant AML rules and regulations. Relevant aspects would include, but not be limited to, continuous review of case investigations/ dispositions and ensuring cases are properly detailed with items satisfactorily addressed. Reviewing samples of Analyst work for accuracy and completeness of review with resulting score allocation. Monitoring results and trends for addressing accuracy and issues with individuals, and escalation to the QC Supervisor, providing feedback and advising training as necessary.

Education Requirements:

• Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Responsibilities:

• Work the QC function for the AML Group.
• Reporting and metric delivery to QC Supervisor.
• Identification of development areas for Analysts.
• Training of individuals in order to baseline understanding and quality of output.
• Act as a source of knowledge to guide Analysts.
• Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
• Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program
• Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
• Maintain currency in laws and regulations pertaining to anti-money laundering violations.
• All other duties as assigned

Basic Requirements:

• 3+ years of securities industry experience
• Minimum 2 years of financial crime experience preferred, including Investigations and Monitoring within a related job/field.
• Strong verbal and written communication skills are required
• A solid and considered approach when dealing with Analysts and business partners
• The ability to organize and manage multiple work efforts
• General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
• 314(a) and 314(b) experience
• SAR experience
• Proficiency in MS Office applications (Word, Excel, Access)
• Strong organizational skills and the ability to work within strict timeframes
• Ability to interpret the Firm's Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation, and internal policies and procedures
• Knowledge of the retail brokerage business, fee-based advisory business and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds

Preferred Requirements:

• CAMS or equivalent (CFCS)