AML Compliance Analyst
Waltham, MA, United States
Commonwealth Financial NetworkThe largest privately held RIA-independent broker/dealer ranking highest in advisor satisfaction. We are the RIA-B/D that puts you first.
If you’re looking for a high-energy, inclusive atmosphere and a company that understands the importance of work/life balance, Commonwealth is your match! From generous bonus and 401(k) programs to tuition reimbursement and flexible work schedules, Commonwealth is focused on helping its employees thrive in an environment suited to their needs. On top of all that, the Legal department offers a hybrid work schedule, so you’ll be able to work from home for part of the week!
We’re looking for an AML compliance analyst to join our ranks. You will be primarily responsible for monitoring and investigating potentially suspicious financial activity. The investigations may be complex and require not only excellent critical thinking skills, but also a complete understanding of the firm’s business; excellent communication skills; ability to work together with multiple compliance teams; and interpret regulations.
- Performing anti-money laundering risk identification/prevention functions through transaction monitoring alert reviews, account/transaction reviews, and forensic research, while documenting results in the firm’s case management system to ensure compliance with recordkeeping requirements and quality of case records.
- Analyzing financial documents and statements to identify suspicious patterns.
- Working with financial advisors and internal stakeholders to increase awareness and better understand expected account activity.
- Collaborating with other AML teams including (FSIP) Fraud/Senior Investor Protection and (KYC) Know Your Customer by helping identify cases of suspected financial exploitation and adverse news.
- Preparing and filing suspicious activity reports within BSA and SAR regulatory standards and timelines
- Providing regular reporting to management on alert and case volume, SAR’s, threats, trends, and ad-hoc projects
- Staying current on emerging technological and industry trends by attending seminars, webinars, training sessions and industry networking conferences
Core Strengths and Skills
- Ability to work independently, multitask, and meet strict target dates.
- Proven expertise with financial investigations using risk-based judgment, critical thinking skills, and strong investigative aptitude.
- Exceptional customer focus with the ability to build relationships effectively and quickly; establish trust, respect, competence, and confidence.
- Ability to manage highly confidential information with discretion.
- Exceptional verbal and written communication skills
- 2+ years of experience in an anti-money laundering or fraud investigation environment in the financial services industry or financial investigations experience in federal, state, or local law enforcement
- CAMS or CFE certification required or ability to obtain within 12 months of employment.
- Strong quantitative and analytical skills
- Proficiency in Microsoft Office (including Word, Excel, and PowerPoint).
- Exceptional open source research skills
- Proficiency in SharePoint a plus
- Experience in NICE Actimize a plus
- Active and valid FINRA Series 7 a plus
- Bachelor’s degree preferred (but not required)
Have we piqued your curiosity? Can you see yourself thriving in this opportunity?
Picture Yourself Here
At Commonwealth, we believe in a better world. We hold ourselves and each other to higher standards. We take care of one another. That’s why we invest in you—we encourage employee growth both in your career and education; we are building out a robust diversity, equity, and inclusion program; we offer incredible healthcare benefits; and we find plenty of occasions to celebrate. What’s not to love?
We are always striving to be better, and we are looking for employees who share that same mindset. Better people, better coworkers, better leaders, better creators. Bring your best work and your full self to the table, and we will do the same. Together, we can build a better future for our advisors, their clients, our company, and you.
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts, and San Diego, California.
Turning our advisors into raving fans starts by doing the same for our employees. We foster an environment of excellence, growth, rewards, and fun in equal measure, which has earned us 43 Best Place to Work awards.
The Fine Print
We care about your online safety as a prospective employee and encourage you to exercise caution when responding to job postings online. Commonwealth will never ask potential hiring candidates to pay or transfer funds as a precondition of interviews or employment, nor will we authorize recruiters or agents to do so on our behalf.
Commonwealth is an equal opportunity employer, making intentional efforts to source talent from all backgrounds.
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