Senior AML Analyst

We are looking for an experienced AML Senior Analyst for our Brickell Office. As a member of the Compliance Department, you will support the team in providing the best‑in‑class service to both Broker Dealer and Registered Investment Advisory clients. You will have the opportunity to develop your own skill set while collaborating across all teams within the Firm, including Senior Management.

You will also help the Firm ensure the success of critical operations following the rules of FINRA, the SEC and Auditing. Additionally, you will participate in the development of challenging new processes and the implementation of amending present processes.

• Support the AML team in establishing and leveraging appropriate systems and processes to develop, validate, and maintain optimal efficiency and effectiveness of AML Program.
• Assist in the development and maintenance of model policies, guidelines, validation and development procedures, controls, tools and templates.
• Conduct account opening documentation review and validation, including KYC, information, source of funds, wealth, and adverse media searches and disposition, on new and existing clients.
• Process critical initial and ongoing client onboarding inquiries and activities such as establishing identity, understanding the nature of client activities, risk classification and managing related notices to clients including comprehensive analysis of complex accounts.
• Perform client updates and periodic reviews (individual and entities).
• Perform activity analysis and create robust dispositions on AML Alerts reviews.
• Participate in initiatives to improve the client and account management process.
• Prepare investigations with all relevant information for SAR, including SAR narratives.
• Assist in preparing reports for the Compliance and Management Committees.
• Perform other duties and responsibilities as assigned.
• Support the AML Manager and AMLCO as needed in training and leading the rest of the team.

• BS/BA degree and/or 3-5 years of relevant work experience.
• Intermediate knowledge of Excel and Excel formulas.
• Extensive knowledge within securities industry and investment products.
• Thorough understanding of the Wealth Management business and organization.
• Previous Broker‑Dealer experience is a plus.
• Bilingual in both English and Spanish and communicates clearly and concisely, both verbally and in writing.
• Strong interpersonal skills with ability to build relationships within and outside the organization.
• Ability to identify, elevate, and resolve problems/issues.
• Demonstrates efficient time management skills and critical thinking.
• Demonstrates organizational skills and a strong attention to detail.
• Ability to multi‑task and prioritize tasks.
• Ability to work in a team environment.
• Proactive and self‑starter who is goal oriented.

We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees and associates.