Cambridge Investment Research, Inc., a national leader as a securities broker/dealer, has an opening in the Compliance Department for a full time Anti-Money Laundering (AML) Analyst.
Essential Duties and Responsibilities:
- Problem solving for incoming phone, voicemail, and email inquiries from rep/advisors and internal parties.
- Review transactional and pattern based exception reports, including documenting review and resolution.
- Analyze customer identification program requirements versus paperwork, including the assessment of resident alien and non-resident alien documentation.
- Evaluate customer account transfer exceptions to policy, including conducting the groundwork to present exception proposals to the AML officer or designee.
- Assist with suspicious activity review and reporting, including the preparation of detailed narratives of suspicious and/or fraudulent activity.
- Serve as a resource both internally and externally as it pertains to AML policies and procedures, and application of these policies to live paperwork, submitted paperwork, and hypothetical client inquiries.
- Associate’s degree or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.
Certificates and Licenses:
- Financial Industry Regulatory Authority (FINRA) Series 7 and 24 are preferred.