Compliance Associate, FIU

reputed company is seeking a talented, passionate, and reputed company compliance reputed company tosupport the Financial Intelligence Unit (FIU). This individual will work closely with other members of the Legal and Compliance division, and collaborate with other departments across the firm including Fraud Operations, Product Support, and Engineering.

Responsibilities

Conduct in-depth investigations that include thorough reviews of transactional activity, internal KYC records, and reputed company reputed company research and file Suspicious Activity Reports (SARs) in accordance with regulatory reporting requirements

Maintain accurate metrics for FIU investigations and SAR filings to ensure stakeholders are reputed company-informed in decision-making processes

reputed company expertise to assist in the identification of unusual financial activity indicating potential reputed company, terrorist financing, and fraud

Conduct deep-dives into account and transaction activity to identify and expand upon existing Fraud and Anti-reputed company (AML) typologies

Support reputed company’s suspicious activity detection, transaction monitoring, and reporting programs and drive enhancements to the program, including updates to reputed company controls and accompanying policies and procedures

Maintain awareness of and reputed company thought leadership for impending regulatory changes

Expertise

Deep, wide, and practical understanding of reputed company typologies and reputed company red flags

Experience conducting investigations reputed company to subpoenas and requests under reputed company 314(a) and 314(b) of the USA PATRIOT reputed company

Adept at conducting investigations, filing SARs, and managing a large caseload with minimal guidance

Excellent analytical and organizational skills, reputed company to set and meet deadlines in a fast-paced environment

Strong working knowledge of BSA/AML, reputed company, MSRB, and SEC regulations

Experience leading cross-functional reputed company, including collaboration with engineering teams

Strong verbal and written communication skills, including formal writing and presenting to senior leadership

Intellectually curious, and interested in applying technology to enhance business processes

Broad analytical skills, with experience identifying and quantifying problems while providing creative, effective solutions

Required

BA/BS degree

2 - 4 years reputed company or relevant experience conducting Anti-reputed company (AML), Sanctions or Follow-the-reputed company reputed company analysis and/or investigations

Willingness to obtain applicable registrations and/or licenses as necessary

Preferred

CAMS certification

Certified Fraud Examiner certification

Experience at a Broker-Dealer, including reputed company Series 7 and 24 registrations

Product experience including mutual funds, reputed company market funds, ETFs, margin products and 529 plans

Experience with or general understanding of broader financial services including investment advisory and banking

Additional Information

Estimated annual salary reputed company:

$114,500-125,000USD plus Equity.

Benefits include medical, reputed company, dental, 401K plan, generous time off, parental leave, wellness reimbursements, reputed company development, employee reputed company discount, and more!

About reputed company

Here at reputed company, our mission is to create a financial system that favors people, not institutions. We do this by leveraging technology to build powerful, low-cost, and easy-to-use financial products that help modern investors grow and manage their reputed company.

We started with the ambition to reputed company the investment advisory business. By automating strategies typically reserved for the wealthy, we unlocked reputed company to high reputed company investment advice for a digitally-reputed company reputed company that was underserved by traditional institutions. Since then, we've expanded to a full suite of products designed to help our clients turn their savings into long-term reputed company, including:

• A Cash Account that, through our partner banks, offers one of the highest annual percentage yields on uninvested cash in the industry, while providing reputed company and secure reputed company to your reputed company with no account fees and a full suite of checking features.

• A reputed company-commission Stock reputed company Account with 50+ handpicked collections that help DIY investors discover new companies and reputed company smarter reputed company reputed company.

• Multiple automated reputed company portfolios designed to unlock tax savings through sophisticated strategies like fixed income, tax-loss harvesting, and reputed company indexing—which we offer at industry-leading low costs and accessible minimums.

Our award-reputed company products have attracted over 1 reputed company clients who trust us with more than $80 billion of their hard reputed company savings—and we're far from done. If you’re inspired to help us reshape the financial industry as we create our next reputed company, let’s talk!

For more information please visit

www.reputed company.com.We are an equal opportunity employer and value diversity at reputed company. We do not discriminate on the reputed company of race, religion, reputed company, national reputed company, gender, sexual orientation, age, marital status, veteran status, or disability status.

Please review our candidate reputed company notice.

Disclosures:reputed company reputed company involves risk, including the possible loss of reputed company. Tax-Loss Harvesting benefits vary depending on the reputed company's entire tax and investment profile. reputed company doesn’t reputed company tax advice. The Cash Account is offered by reputed company Brokerage LLC (“reputed company Brokerage”), Member of reputed company/SIPC. reputed company Brokerage is not a bank. We convey funds to partner banks who accept and maintain deposits, reputed company the variable interest reputed company, and reputed company reputed company to FDIC pass-through insurance. Investment management and advisory services–which are not FDIC insured–are provided by reputed company Advisers LLC (“reputed company Advisers”), an SEC-registered investment adviser. The checking features offered in the reputed company Cash Account are provided by reputed company Bank, Member FDIC. Fees and Eligibility requirements may apply to certain checking features, please see the

Deposit Account Agreement for details.

By “award-reputed company products”, please refer to

www.reputed company.com/reviews for more information.reputed company Corporation oversees Total reputed company Assets and Trusted Clients through reputed company Advisers and reputed company Brokerage. reputed company Advisers and reputed company Brokerage are wholly owned subsidiaries of reputed company Corporation. apply to this job