Brokerage AML QA Analyst

1 week ago

Charlotte, NC, United States KPMG Full time
Brokerage AML QA Analyst

Please note: candidates with EDD/KYC and Fraud experience are not a fit for this role. We are looking for seasoned investigator candidates capable of conducting case investigations and performing QA reviews on a team of investigators.

Responsibilities:
  • Conducting comprehensive AML investigation investigations which includes pulling transactional data and KYC records from the bank systems, analyzing transaction information, data, researching open source and media checks, and based on this research, making a recommendation for either Suspicious Activity Reports (SAR) or no SAR.
  • Drafting comprehensive and clear investigative summaries detailing findings and recommendations.
  • When applicable, drafting Suspicious Activity Reports (SAR).
  • Providing feedback to Investigators on case errors or inaccurate analysis.
  • Verifying case investigation documentation is consistent with procedures and accurate e.g., case narratives are detailed and decisions/recommendations are well supported.
  • Reviewing SAR form and narratives for completeness and accuracy and making necessary edits as needed.
  • Ensuring daily production of case investigations and quality reviews goals are met and reported to Team Leads.
  • Act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment.
Qualifications:
  • Experience performing AML investigations in a brokerage account (with broker dealer) and retail banks.
  • 5+ years of AML experience within the financial services industry.
  • 3-5+ years' experience performing AML Transaction Monitoring investigations, preferably for a retail bank, drafting Suspicious Activity Reports (SARs) and/or performing quality assurance (QA). Any additional experience in Broker/dealer transaction monitoring is a plus.
  • Bachelor's degree, or equivalent work experience, in areas such as financial services, investigative service, or law enforcement.
  • Advanced understanding of the Bank Secrecy Act, USA Patriot Act, and other applicable laws and regulations.
  • Prior experience performing AML Investigations and drafting SAR narratives.
  • Experience overseeing the work of others and providing feedback, e.g., in an oversight/Quality Assurance/second level reviewer role.
  • Good knowledge of Microsoft Office.
  • Strong oral and written communication skills.
  • Strong analytical experience.
  • Excellent research and decision-making skills.
Additional Preferred Qualifications:
  • FINRA licenses including the SIE or Series 7, Series 4, Series 24 - Preferred.
  • Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
  • Securities trading experience in equities, bonds, options, futures contracts.
  • Transaction analysis and how it relates to FINRA Red Flags and associated risk.
  • Knowledgeable in the areas of research: ACAT Transfers/Rejections, Special handling, and transfers between category types (Type 1 = cash, Type 2 = Margin, Type 3 = Short, etc.).
  • Back Office/Front Office Experience, including security reconciliation, Margin reconciliation, securities processing/master.
  • Must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. KPMG LLP will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).


KPMG seeks a contractor in the United States to provide service to KPMG through one of our contracted employer/agency service providers. All applicants for any KPMG role are expected to act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment. All applicants must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. KPMG LLP will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).

KPMG complies with all local/state regulations in regard to displaying pay rate ranges. The pay rate range(s) displayed is/are specifically for those contracted who will perform work in or reside in the location(s) listed, if selected for the role. Pay is determined based on a variety of factors including market data, ranges, applicant's skills and prior relevant experience, certain degrees and certifications (e.g. JD, technology), and specific location, for example. Additionally, applicants may be required to apply and become employed by a service provider utilized by KPMG, and final pay rate(s) and/or eligibility for additional benefits may be determined by such provider.

KPMG LLP, its subsidiaries, and its agency service providers (including, but not limited to, MBO Partners Inc., Magnit LLC, and TalentBurst Inc.) are equal opportunity employers/contractors. All qualified applicants are considered without regard to race, color, creed, religion, age, sex/gender, national origin, ancestry, citizenship status, marital status, sexual orientation, gender identity or expression, disability, physical or mental handicap unrelated to ability, pregnancy, veteran status, unfavorable discharge from military service, genetic information, or other legally protected status.

Los Angeles County applicants: Material job duties for this position are listed above. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. These include the duties and responsibilities listed above, as well as the abilities to adhere to company policies, exercise sound judgment, effectively manage stress and work safely and respectfully with others, exhibit trustworthiness, and safeguard business operations and company reputation. Pursuant to the California Fair Chance Act, Los Angeles County Fair Chance Ordinance for Employers, Fair Chance Initiative for Hiring Ordinance, and San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

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