Position: AML & Anti-Fraud Analyst

Department: Compliance

Reporting to: Director of AML & Anti-Fraud

Location: Topeka, KS - Onsite

• Conduct thorough investigations into allegations of anti-money laundering or fraud made against the company, registered representatives, Investment Advisor Representatives (IARs), and clients
• Utilize analytical tools and techniques to detect suspicious patterns and behaviors within financial data
• Investigate and analyze alerts generated by transaction monitoring systems, conducting in-depth research to determine the legitimacy of flagged activities
• Investigate issues related to vulnerable adults, consulting with internal stakeholders and custodians as necessary
• Ensure business adherence to SEC and FINRA policies and procedures regarding AML and Anti-Fraud compliance
• Prepare and submit Suspicious Activity Reports (SARs) in accordance with regulatory guidelines and deadlines
• Provide support during the annual AML risk assessment process
• Stay informed of evolving regulatory requirements, industry trends, and best practices in AML and fraud detection, incorporating relevant updates into our compliance processes

• Three plus years of experience in regulatory oversight and AML compliance within the financial services industry
• Comprehensive knowledge of laws, regulations, and legislative processes related to AML and Anti-Fraud requirements and controls
• Proficiency in Bank Secrecy Act (BSA) and AML reporting requirements mandated by FinCEN and other regulatory agencies
• Strong analytical skills with the ability to make sound judgments independently, even with limited or incomplete information
• Detail-oriented with a commitment to accuracy and thoroughness in conducting investigations and documenting findings
• Exceptional written and verbal communication skills, with the ability to interact with individuals at all levels of the organization
• Capacity to deliver high-quality work under strict regulatory or management deadlines
• Proactive mindset with the ability to work independently and collaboratively in a fast-paced, dynamic environment

• Bachelor's degree in Finance, Business Administration, or a related field
• Professional certification such as Certified Anti-Money Laundering Specialist (CAMS)

Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!

Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.

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