Job description
Job Summary:
Essential Functions:
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company. About the Company:
Hilltop Securities is looking to hire an Anti-Money Laundering Risk Analyst, Sr. To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.
Essential Functions:
- Execute AML risk assessments for the various business groups. Evaluate inherent risk associated with products, services, customers, and geographic locations including adjustments for the quality of risk management for the category to arrive at a residual risk rating and report findings to Senior Management. Substantiate and support risk assessment with hard data, facts and references where possible.
- Build and maintain current, detailed knowledge of anti-money laundering and anti-terrorist financing matters and understanding of AML and OFAC regulatory requirements and best practices related to the risk assessment process;
- Work with management of business area/category to follow-up and resolve of issues identified through the risk assessment process.
- Conducts analysis of alerted transactions for suspicious activity, conducting high-level, complex case investigations.
- Receive and investigate referrals of unusual activity by branch personnel or other client-facing areas of the broker dealer.
- Provides subject matter expertise and training to relevant business units
- Generate reports of trends and statistics to senior management;
- Be a self-starter and master of time management, consistently sustaining high levels of productivity and quality in a fast paced high volume environment.
- Investigate and research cases and potentially suspicious situations; efficiently arriving at sound risk based conclusions.
- Demonstrate sound judgment and decision making in the context of regulatory requirements; Broker Dealer Policies; and industry best practices.
- Bachelor’s Degree and/or equivalent experience preferred;
- Professional licenses/certifications (i.e., FINRA Series 7, CAMs, CFE) preferred
- Minimum 1-3 years of AML alert processing/investigations;
- 3-5 years of Brokerage Industry experience;
- High level of analytical and problem-solving skills;
- Strong PC skills (Microsoft Office with emphasis on Excel), Knowledge of Protegent a plus;
- Excellent written and verbal communication skills;
- Strong judgment and excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience;
- Comfortable working with all levels of management;
- Attention to detail and quality assurance;
- Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically;
- Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines.
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success.
As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.
jjbodyshop.com is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, jjbodyshop.com provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, jjbodyshop.com is the ideal place to find your next job.