Summary

Under general supervision, the AML Transaction Monitoring Analyst II researches and analyzes transactional activity to identify possible cases of money laundering or terrorist financing. The Analyst II also researches and analyzes trading activity to identify possible market abuse cases.

Essential Duties & Responsibilities

• Review deposits, withdrawals, transfers, and trading activity to identify money laundering, terrorist financing, and market abuse.
• Effectively investigate, document, and identify suspicious activity and use seasoned judgment for activity to determine if a SAR needs to be filed.
• Preform extensive background investigations using public and private databases in accordance with AML and other regulatory standards to help prevent operational and reputational risk.
• Prepare and file SARs for the Transaction Monitoring team.
• Identify potential gaps in AML processes and offer potential solutions.
• Assist with preparation and delivery of AML and other compliance training.
• Provides customer service by responding to calls from other departments regarding 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

• The ability to effectively communicate information and ideas in spoken or written form so that others will understand.
• Handles sensitive information confidentially and professionally.
• Industry knowledge, theories and concepts of methodology, process development, change management and implementation.
• Basic understanding, knowledge, and experience in 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. Working knowledge of Capital Markets.
• 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, agency rules including SEC/Exchange rules/regulations, Industry practices and Stifel policies along with their application.
• Manages one's own time and priorities to ensure the meeting of deadlines.

Education & Experience

• Bachelor's degree in related field or equivalent combination of education and experience
• 2+ years of Compliance, Brokerage or Banking Experience
• Preferred: 2+ years of AML Experience
• Experience with Capital Markets

Licenses & Credentials

• Preferred: Series 7 & 63, CAMS

Systems & Technology

• Proficient in Microsoft Outlook and Microsoft Suite including but not limited to Word, Excel and PowerPoint.
• Experience with SQL Server desired
• Experience with AML software and/or capital markets surveillance desired.

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.