AML Analyst

The AML Analyst works in conjunction with the Firm’s AML Compliance Officer, Specialists and staff as well as other areas (including Trading, Client Services, Operations, MIS, etc.) in the testing and remediation of anti-money laundering policies and procedures and in the surveillance of customer account activity.

We’re looking for someone who:

  • Thinks strategically and is inquisitive - You’re intellectually curious and love finding and solving challenges with creative and simple solutions. You find ways to get things done efficiently without sacrificing quality.
  • Takes initiative and is a high performer -   You’re driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
  • Have great communication skills- Not only are you articulate when verbally communicating but you can get the message through in a written format. You also provide alternatives for clients when there is no way possible to meet their demands. 
  • Values the power of the team. You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks.
  • Investment Securities Experience - You are organized, understand investment terminology and customer suitability requirements. You understand the importance of providing proper investment recommendations and how to monitor trading activity to ensure it is compliant with FINRA requirements.  

What you’ll do all day:

  • Monitor Account Activity.  Your primary objective will be reviewing account information for suspicious or manipulative activity as well as transactional and depository alerts for potential money laundering violations. You will use a variety of tools and resources to help identify activity that could pose a risk to the firm.
  • Investigate red flags or suspicious activity.  You will use unconventional sources to find any customer that has or may violate federal laws or security laws.  You will also assist in the Suspicious Activity Reporting (SAR) process and analyze bi-weekly FINCEN notifications and OFAC screens.
  • Complete diligence on individuals, corporations and foreign entities.  You’re always looking for data and information that will help us identify risk. Your goal is to reduce the amount of bad actors trying to get access to the financial system through Apex.
  • Utilize Third Party Vendors and open sources to review negative news on potential end clients. You will utilize research skills in determining if potential end clients are a confirmed match to persons that have derogatory news.
  • Document your findings. In compliance, documentation is of the utmost importance. You will document your reviews and your findings. You will continually monitor activity to ensure manipulative activity does not occur.

A few reasons why you might love working here:

  • Our Compliance track record.  We’ve got an incredible Compliance track record. We foster a culture of Compliance throughout our firm. 
  • Our team is passionate and driven to succeed.   We work as a team and build off of each other’s knowledge and ideas. We encourage growth and give you a platform to succeed.  
  • You’ll have genuine opportunities for growth. – We care about your career goals and provide options for growth. We encourage outside learning, education and we look to promote within.

And a few reasons why you may not love us:

  • You like to have a checklist of things to review.  Each situation may present something new and unknown. You will need to find problems, solutions and accept new challenges. If you’d prefer to have your Manager’s buy-in every step of the way, this is not a job for you.
  • You don’t like change.   This is not a job for someone who likes ‘predictable’.  Our customer’s needs are dynamic and can change rapidly, which means the work is dynamic. It’s a fast-paced environment and you need to adapt accordingly. You won’t be bored.
  • You’re not the collaborative type.   We bring ideas to the table and we work together to solve these challenges. If you’re looking solely to be an independent contributor, this might not be the right position for you. 

The skills you’ll need to succeed:   

  • 2+ years AML experience in financial securities industry
  • Bachelor’s degree and/or associate’s degree. Series 7 and/or ACAMS, strongly preferred
  • Strong verbal and written communication skills
  • Highly motivated with capability to work with minimum supervision on a wide range of matters
  • Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential
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