Osaic

AML CIU Analyst

Osaic

full-time

Posted on:

Location Type: Hybrid

Location: Meriden • Arizona • Florida • United States

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Salary

💰 $70,000 - $80,000 per year

About the role

  • Conduct CIP screening and verification utilizing relevant systems
  • Conduct adverse media client screening
  • Review and escalation of various matters notified and escalated to the AML Group, by various facets of the business, with respect to the due diligence process.
  • Perform Client Due Diligence testing and review utilizing internal and third-party research tools.
  • Perform Enhanced Due Diligence for High-Risk clients utilizing internal and third-party research tools.
  • Metrics gathering and escalation.
  • Work with advisors and supervisors to gather information and documentation required to resolve matters.
  • Identify and escalate matters containing potentially suspicious activity, Firm policy violations, or issues that may pose a higher risk to the Firm in a timely manner.

Requirements

  • Minimum of high school diploma or equivalent is required.
  • 1 – 3 years of securities industry experience
  • 1 – 3 years conducting CIU type activities
  • Strong verbal and written communication skills are required
  • Proficiency in MS Office applications (Word, Excel, Access)
  • Strong organizational skills and the ability to work within strict timeframes
  • Knowledge of the retail brokerage business, fee-based advisory business, and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds
Benefits
  • health, vision, dental insurance
  • 401k
  • paid time away
  • volunteer days and much more
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
CIP screeningadverse media client screeningClient Due Diligence testingEnhanced Due Diligencemetrics gatheringdue diligence processthird-party research toolsinternal research toolssecurities industry experienceCIU activities
Soft Skills
verbal communicationwritten communicationorganizational skillsability to work within strict timeframes
Certifications
high school diploma