AML Investigator

Summary:

Seeking an experienced AML Investigator with a strong broker-dealer background gained within a large banking or financial services environment. This individual will investigate complex AML and financial crimes alerts, analyze securities-related activity, and identify potential money laundering, insider trading, fraud, and market abuse risks.

Key Responsibilities:

Conduct AML investigations involving brokerage accounts, securities trading, and high-risk customer activity.

Review alerts, customer profiles, transactional activity, trading records, and supporting documentation.

Investigate potential money laundering, insider trading, market manipulation, and other financial crimes.

Prepare detailed case documentation and SAR recommendations when warranted.

Manages 13 highly complex AML investigations per week, conducting detailed research and analysis of suspicious activity, trading behavior, and financial transactions.

Partner with Compliance, Risk, Legal, and business stakeholders to support investigative findings.

Ensure investigations are completed in accordance with regulatory requirements and internal policies.

Investigates potential broker-dealer, securities, and insider trading concerns, utilizing multiple data sources to determine risk and regulatory impact.

Documents findings, makes disposition decisions, and escalates suspicious activity in accordance with AML and compliance requirements.

Collaborates with Compliance, Legal, and Risk teams to resolve complex cases and support regulatory obligations.

Working on cases such as account takeovers, identity theft etc. Must-Haves Skills and

Qualifications:

10+ years of AML investigation and direct broke dealer case experience.

Experience working for a large bank, investment bank, Big 4 or financial institution.

Experience investigating securities transactions and trading activity.

Knowledge of insider trading, market manipulation, and suspicious securities activity.

SAR writing experience.

Strong understanding of BSA/AML regulations and compliance requirements.

Experience reviewing transaction monitoring alerts and conducting end-to-end investigations.

Ability to manage complex investigations independently and make risk-based decisions.

Knowledge of securities industry regulations, trading activity monitoring, and suspicious securities transaction investigations.

Experience identifying and investigating potential insider trading, market manipulation, and other securities-related red flags.

Ability to analyze trading patterns, account activity, and transaction behavior to detect potential violations of securities laws and firm policies.

A bachelor's degree or equivalent from an accredited university in finance, accounting, business relatedCAMS certification major plus Experience in AML, Financial Crimes, Fraud, Compliance, or Regulatory Investigations within capital markets or wealth management environments.

Job Type & Location This is a Contract to Hire position based out of Dallas, TX.Pay and Benefits The pay range for this position is $26.00 - $47.00/hr individual compensation offered for this position within this range will depend on many factors, including qualifications, skills, relevant experience, job knowledge, geographic location, internal equity, and other pertinent job-related factors.

Eligibility requirements apply to some benefits and may depend on your job
classification and length of employment. Benefits are subject to change and may be
subject to specific elections, plan, or program terms. If eligible, the benefits
available for this temporary role may include the following:

Medical, dental & vision
Critical Illness, Accident, and Hospital
401(k) Retirement Plan Pre-tax and Roth post-tax contributions available
Life Insurance…