Compliance Opportunity in Financial Services
AML (Anti-Money Laundering) Quality Control (QC) Supervisor
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $80,000 - $90,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Summary:
The Anti-Money Laundering (“AML”) Quality Control (“QC”) Supervisor will utilize their knowledge and specialized training to implement and oversee the components of the QC team requirements in compliance with relevant AML rules and regulations. Relevant aspects would include, but not be limited to, continuous review of case investigations/ dispositions and ensuring cases are properly detailed with items satisfactorily addressed. Reviewing samples of Analyst work for accuracy and completeness of review with resulting score allocation. Monitoring results and trends for addressing individuals and escalation to the Chief AML Officer, providing feedback and training as necessary.
Education Requirements:
- Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
- Supervise and oversee the QC function for the AML Group.
- Reporting and metric delivery to CAMLO.
- Identification of development areas for Analysts.
- Training of individuals in order to baseline understanding and quality of output.
- Participate on the interviewing and hiring of additional staff.
- Act as a leader to guide Analysts, including the QC Analyst.
- Develop and maintain a solid understanding of quality requirements necessary for regulator appeasement.
- Utilize a wide variety of resources, both public and non-public, to fully develop the QC Program
- Maintain a high level of confidentiality in all dealings with both internal and external stakeholders.
- Maintain currency in laws and regulations pertaining to anti-money laundering violations.
Basic Requirements:
- 1 – 3 years of securities industry experience
- 2 - 3 years of financial crime experience including Investigations and Monitoring within a related job/field.
- Prior supervisory experience a plus.
- Strong verbal and written communication skills are required
- A solid and considered approach when dealing with Analysts and business partners
- The ability to organize and formulate a team.
- General compliance knowledge - must have extensive knowledge of FINRA, SEC and Firm-specific rules and regulations
- 314(a) and 314(b) experience
- SAR experience a plus
- Proficiency in MS Office applications (Word, Excel, Access)
- Strong organizational skills and the ability to work within strict timeframes
- Knowledge of the retail brokerage business, fee-based advisory business and common investment products including, but not limited to, mutual funds, variable annuities, alternative investments, stocks, and bonds
- Ability to travel <10%
Preferred Requirements:
- CAMS or equivalent (CFCS)
- FINRA Series 7
- CFE Certification
Top Skills
What We Do
Osaic provides the support, resources, and community designed for the future of wealth management.
Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
