Clear Street is seeking an AML Compliance Analyst to support the oversight and execution of the Firm’s AML Program and ensure compliance with FINRA, SEC and Bank Secrecy Act (BSA) requirements.
Requirements
- Knowledge of FINRA, SEC and Bank Secrecy Act (BSA) requirements
- Understanding of AML regulatory developments and emerging typologies
- Experience with AML software and systems
- Analytical and problem-solving skills
- Ability to identify issues and design effective solutions
- Strong analytical, verbal and written communication skills
- Experience with data analysis and reporting
Responsibilities
- Gather and analyze information collected at account onboarding in accordance with the Firm’s Customer Identification Program and Customer Due Diligence Program requirements
- Conduct reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to identify potential red flags
- Prepare reports for Senior Management by collecting, analyzing, and summarizing data and trends
- Review and refine surveillance reports to identify potentially suspicious activity
- Draft clear, timely and well-supported Suspicious Activity Reports (SARs)
- Contribute to updates of AML Policies and procedures based on regulatory and business changes
- Perform Customer Due Diligence and Enhanced Due Diligence based on customer risk profiles
Other
- Bachelor’s Degree or equivalent
- Internship Experience with a financial services firm, regulator, audit firm or commensurate experience
- Ability to work independently and manage multiple deadlines
- Ability to identify issues and design effective solutions to address them
- Self-starter and team player who is comfortable working in a fast-paced environment
- Must be in the office 4 days per week
