Senior AML Analyst - Surveillance & Investigations

Job Description

As the Senior AML Analyst:
Surveillance & Investigations you will support the US WM AML Compliance function by executing various processes that maintain compliance with regulatory requirements and the firm's AML Program. He/she must demonstrate expert securities industry, product, and process knowledge within the department and to other areas within the firm while conducting advanced AML investigations and developing and enhancing transaction monitoring rules for new and existing products.

• Conduct advanced investigations and handle sensitive and escalated matters with discretion.
• Prepare and file Suspicious Activity Reports.
• Research and provide advice regarding market abuse of low-priced and/or thinly traded securities and the risk they pose.
• Perform quality control and transaction monitoring rule development for existing and new products.
• Provide training and daily work direction to Analysts while understanding regulatory and firm risks associated with work processes, how work is processed from beginning to end, and dependencies to other areas and departments.
• Provide enhanced customer service, process/data analysis, and complex problem solving within the area/department.
• Collaborate and coordinate with the US WM AML Advisory team to streamline investigation and oversight processes to identify and reduce AML risk.
• Lead or participate in AML projects with small to medium risk.

• Bachelor's degree in business, finance or similar.
• Minimum 5 to 7 years of financial crimes/AML experience in financial services, with extensive time conducting investigations and filing SARs.
• Advanced regulatory knowledge of applicable AML and economic sanctions regulations.
• Possess an understanding of the broker-dealer and RIA industries, securities processing, and AML related regulations, as well as patterns of behavior that represent suspicious activity.
• Experience and knowledge investigating low-priced and/or thinly traded securities and the risk they pose.
• Broad experience with AML/BSA Program implementation.

• CAMS
• FINRA Series 7
• FINRA Series 66 (or 63/65)
• Experience working and corresponding with auditors, regulators, and law enforcement.

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program includes competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $70,000-$130,000 depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.