Summary

Under general supervision, the AML Transaction Monitoring Analyst researches and analyzes transactional activity to identify possible cases of money laundering, terrorist financing, or financial crimes. The Analyst also examines and analyzes trading activity to identify potential market manipulation/abuse issues.

Essential Duties & Responsibilities

• Review deposits, withdrawals, transfers, and trading activity to identify money laundering, terrorist financing, and market manipulation/abuse.
• Effectively investigate, document, and identify suspicious activity and use seasoned judgment to determine if a Suspicious Activity Report (SAR) is warranted.
• Perform extensive background investigations using public and private databases per AML and other regulatory standards to help prevent operational and reputational risk.
• Prepare and file SAR's for the Transaction Monitoring team.
• Identify potential gaps in AML processes and offer possible solutions.
• Assist with the preparation and delivery of AML and other compliance training.
• Provides customer service by responding to calls from other departments regarding potential suspicious activity and assisting branches/departments in preparing and responding to AML inquiries.
• Assist in the training of new associates.
• Assist in creating and maintaining up-to-date policies and procedural documentation.
• Other duties as assigned by Manager.

Qualifications

• Ability to handle sensitive information confidentially and professionally.
• Basic understanding, knowledge, and experience in the financial industry, including operational and risk/control, financial markets, products, and an understanding of the transaction life cycle.
• Working knowledge of relevant regulations and standard industry processes.
• Ability to identify and affect appropriate risk and control mechanisms.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment.
• Uses logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Basic understanding of laws, legal codes, government regulations, and agency rules, including SEC/Exchange rules/regulations, Industry practices, and Stifel policies and their application.
• Manages one's own time and priorities to ensure the meeting of deadlines.
• Excellent verbal and written communication skills.

Education & Experience

• Bachelor's degree in Finance, Business Management, Criminal Justice, or Accounting. or equivalent experience.
  Experience in Compliance, Brokerage, or Banking.

Licenses and Credentials

• Series 7, Series 63, and CAMS preferred

Systems & Technology

• Proficient in Microsoft Office including Outlook, Word, Excel and PowerPoint.
• Experience with SQL Server desired.
• Experience with AML software and/or capital markets surveillance is preferred.

Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success – and 26 years of continual growth – is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.