Job Description

Overview:

About Us: Cambridge Investment Research Inc. is one of the nations top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered.

Job Summary:

The Anti-Money Laundering (AML) Analyst will play a crucial role in ensuring compliance with regulatory requirements and internal policies related to financial transactions. This position involves problem-solving inquiries from financial professionals and internal parties, reviewing transactional reports, assessing customer documentation, and assisting with suspicious activity reviews and reporting.

Cambridge Culture : Work-life balance is the key to individual success. When our onsite associates have downtime, they enjoy taking walks around our quarter-mile trail, playing a quick round of bags, or participating in our annual company-wide volleyball tournament. When the temperature begins to drop, the activities move indoors with ping-pong competitions and yoga sessions. We provide our associates with abundant career opportunities through professional development, promotions from within, and career growth assistance.

Essential Duties:

• Inquiry Handling:
• Resolve incoming phone calls, voicemail messages, and email inquiries from financial professionals and internal stakeholders regarding AML policies and procedures.
• Transaction Review:
• Review transactional and pattern-based exception reports to identify potentially suspicious activities.
• Document review findings and resolutions in compliance with regulatory standards.
• Customer Identification Assessment:
• Evaluate customer identification program requirements against submitted paperwork, including assessment of resident alien and non-resident alien documentation.
• Policy Compliance:
• Assess customer account transfer exceptions to established policies.
• Prepare and present exception proposals to the AML officer or designated authority for review and approval.
• Suspicious Activity Monitoring:
• Assist in the review and reporting of suspicious activities.
• Prepare detailed narratives documenting suspicious or fraudulent activities identified during monitoring processes.
• Subject Matter Expertise:
• Serve as a knowledgeable resource internally and externally regarding AML policies, procedures, and their application to real-time and hypothetical client scenarios.
• Provide guidance and clarification on AML requirements to stakeholders as needed.

Education & Experience:

Two or more years of related experience, education and/or training.

Certificates & Licenses:

This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and Series 24 licenses within the first 9 months of employment.

Compensation: $65,000-$80,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidates qualifications, the Companys operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.

Benefits: Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Eleven paid holidays

You can find more details about our comprehensive benefits package here.

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Cambridge Investment Research, Inc.

Job Tags

Holiday work,

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