Strong broker-dealer background
Within a large banking or financial services environment
10+ years of AML investigation and direct broke dealer case experience.
Experience working for a large bank, investment bank, Big 4 or financial institution.
Experience investigating securities transactions and trading activity.
Knowledge of insider trading, market manipulation, and suspicious securities activity.
SAR writing experience.
Strong understanding of BSA/AML regulations and compliance requirements.
Experience reviewing transaction monitoring alerts and conducting end-to-end investigations.
Ability to manage complex investigations independently and make risk-based decisions.
Knowledge of securities industry regulations, trading activity monitoring, and suspicious securities transaction investigations.
Experience identifying and investigating potential insider trading, market manipulation, and other securities-related red flags.
Ability to analyze trading patterns, account activity, and transaction behavior to detect potential violations of securities laws and firm policies.
A bachelor's degree or equivalent from an accredited university in finance, accounting, business related
Experience in AML, Financial Crimes, Fraud, Compliance, or Regulatory Investigations within capital markets or wealth management environments.