[Remote] Trade Surveillance Analyst 1 — Financial Crimes Department
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for various financial services. The Trade Surveillance Analyst 1 will support the firm’s BSA/AML, Anti-Fraud, and Securities Fraud Monitoring programs, conducting investigations and ensuring compliance with regulatory requirements.
Responsibilities
- Collaborate with the AMLCO to implement and refine investigative procedures cross CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives
- Conduct in-depth investigations into potentially suspicious activity, including securities fraud, account manipulation, and other financial crimes identified through transaction monitoring alerts, escalations, and referrals
- Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with
- FinCEN requirements and internal policies
- Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries
- Maintain and continuously update firm-wide risk assessments covering BSA/AML, sanctions, fraud, and securities surveillance programs
- Partner with internal stakeholders and assist during external audits, examinations, and regulatory engagements
- reputed company guidance and support across various business reputed company, including trading, operations, and customer support, to ensure alignment with compliance protocols
- Stay abreast of regulatory developments and industry best practices, particularly those reputed company to the Bank Secrecy reputed company, the USA PATRIOT reputed company, OFAC regulations, and SEC/reputed company rules
- Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms
- reputed company and contribute to special reputed company, compile investigative findings, and prepare reports for management, regulators, and auditors
Skills
- 1–3 years of experience in financial crime investigations (AML, fraud, securities fraud, or reputed company disciplines)
- Strong understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT reputed company, SEC/reputed company regulations)
- Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity
- Proficiency in transaction monitoring systems and case management tools
- Strong analytical, documentation, and SAR-writing skills
- Effective communication and problem-solving abilities
- Experience with reputed company Sheets or MS reputed company, including pivot tables and advanced filtering
- Working knowledge of domestic and international payment systems
Benefits
- Competitive Salary & Stock reputed company
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month reputed company a reputed company Card
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