Sr Anti-Money Laundering Analyst
Dallas, TX
Full Time
Corporate
Experienced
Our Team is growing, and we need you!
Come be a part of this disruption in the financial services marketplace!
By joining the Level Four family of companies, you’ll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., with local roots in North Texas.
We offer:
The position will serve as a Senior Anti-Money Laundering Analyst for Level Four Advisory Services, LLC and its affiliated broker dealer, Level Four Financial Services, LLC.
The AML Analyst is responsible for overseeing the company's compliance with domestic and international AML regulations by conducting risk assessments, monitoring financial transactions for suspicious activity, implementing preventative measures, reporting potential violations to authorities, and ensuring the company actively combats money laundering activities. The right candidate for this position must be very knowledgeable in BSA, OFAC and AML practices and procedures and have experience in supporting international broker-dealer and investment advisory business.
The position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast- paced and professional environment with frequent shifts in priorities as business needs dictate.
Key objectives of the SML Analyst include:
Provide support to the AML-CO as a Senior AML Analyst to maintain the firm’s AML program which includes surveillance of client activity for the purpose of identifying and reporting suspicious activity and/or transactions. The role will be primarily responsible for standing up and managing a robust AML Program for the firm’s
international business. This includes standing up firm’s newly acquired Unit 21 software that will be utilized for detecting, investigating and reporting on fraud and possible money laundering.
Essential responsibilities and tasks of the Sr Anti-Money Laundering Analyst are:
Risk Assessment:
Successful Anti-Money Laundering Analyst candidates will have:
Required
Come be a part of this disruption in the financial services marketplace!
By joining the Level Four family of companies, you’ll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., with local roots in North Texas.
We offer:
- Casual Work Environment
- Generous Paid Time Off
- Flexible Work Schedule
- Great Benefits
- And More…
The position will serve as a Senior Anti-Money Laundering Analyst for Level Four Advisory Services, LLC and its affiliated broker dealer, Level Four Financial Services, LLC.
The AML Analyst is responsible for overseeing the company's compliance with domestic and international AML regulations by conducting risk assessments, monitoring financial transactions for suspicious activity, implementing preventative measures, reporting potential violations to authorities, and ensuring the company actively combats money laundering activities. The right candidate for this position must be very knowledgeable in BSA, OFAC and AML practices and procedures and have experience in supporting international broker-dealer and investment advisory business.
The position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast- paced and professional environment with frequent shifts in priorities as business needs dictate.
Key objectives of the SML Analyst include:
Provide support to the AML-CO as a Senior AML Analyst to maintain the firm’s AML program which includes surveillance of client activity for the purpose of identifying and reporting suspicious activity and/or transactions. The role will be primarily responsible for standing up and managing a robust AML Program for the firm’s
international business. This includes standing up firm’s newly acquired Unit 21 software that will be utilized for detecting, investigating and reporting on fraud and possible money laundering.
Essential responsibilities and tasks of the Sr Anti-Money Laundering Analyst are:
Risk Assessment:
- Conduct regular risk assessments to identify potential money laundering vulnerabilities across the organization's products, services, and customer base.
- Analyze customer profiles, transaction patterns, and geographic locations to determine high-risk areas.
- Develop and implement risk-based mitigation strategies to address identified risks.
- The Senior AML Analyst will be responsible for creating and managing a robust AML Program for the firm’s international business. This includes standing up firm’s newly acquired Unit 21 software that will be utilized for detecting, investigating and reporting on fraud and money laundering.
- Design and maintain comprehensive AML policies and procedures aligned with regulatory requirements.
- Establish customer due diligence (CDD) processes including Know Your Customer (KYC) procedures for customer identification and verification.
- Develop internal controls and monitoring systems to detect suspicious activity.
- Monitor customer transactions for suspicious activity using automated systems and manual review processes.
- Investigate and report suspicious activity to relevant authorities as per regulatory guidelines.
- Prepare and submit AML compliance reports to the firm’s AML-CO.
- File Suspicious Activity Reports as required
- Maintain accurate documentation of all compliance activities and investigations.
- Collaborate with various departments within the organization to ensure AML compliance across all business lines.
- Maintain open communication with regulatory agencies regarding AML compliance matters.
Successful Anti-Money Laundering Analyst candidates will have:
Required
- Strong understanding of AML regulations and best practices
- ACAMS Designation
- Minimum of 7 years’ experience with the Bank Secrecy Act, OFAC, FinCen regulations, AML and the USA Patriot Act and have experience in supporting international broker-dealer and investment advisory business.
- Proven experience in financial crime compliance, ideally within the banking or financial services industry
- Analytical skills to identify patterns and trends in data
- Ability to conduct thorough investigations and prepare detailed reports
- Proficient in Windows, Word, Excel, PowerPoint and Adobe Acrobat
- Ability to communicate effectively at all levels
- The ability to work as part of a team which includes excellent communication skills.
- Strong regulatory and business knowledge, analytical and problem-solving skills.
- Strong presentation, written, and interpersonal communication skills
- Ability to work on multiple tasks and manage team priorities and workload
- Team player who works constructively with others to achieve team goals
- Ability to work independently as well as collaboratively in a team environment
- Ability to organize, prioritize, and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment.
- BA/BS in Accounting, Finance or related field of study
- Hold FINRA Series 7, 63, and/or 65 (or 66)
- Working knowledge of Unit21, AML surveillance software
- Bilingual in English and Spanish
Apply for this position
Required*