AML Transaction Surveillance Associate

Join a dynamic AML team at a rapidly growing FINRA-regulated broker-dealer. You will play a critical role in safeguarding the firm’s integrity and supporting its expansion by ensuring robust AML compliance and risk mitigation.JOB RESPONSIBILITIES/MAIN FUNCTIONSInvestigate AML alerts and exception reports using internal/external sources in accordance with established procedures.Analyze client risk profiles and activity patterns to identify unusual or potentially suspicious activity.Document investigations and dispositions clearly, accurately, and in a timely manner.Escalate alerts that warrant further review in accordance with AML procedures.Prepare well‑supported investigation summaries for review by senior analysts or management.Support audits and regulatory reviews.Participate in special projects.JOB REQUIREMENTS (EDUCATION AND CAPABILITIES)Bachelor’s degree preferably in Business, Finance, or related field.2–4 years AML or compliance experience.ACAMS preferred or equivalent AML certificationBilingual (English/Spanish).Familiarity with AML tools (e.g., Actimize, FIS, World Check, Lexis Nexis) and broker‑dealer operations.Understanding of international AML standards (e.g., FATF, Wolfsberg).JOB COMPETENCIES (KNOWLEDGE, SKILLS, AND CAPABILITIES)Strong analytical and problem‑solving skills.Ability to follow established procedures and apply guidance consistently.Proven ability to interpret financial and legal documentation.Strong written and verbal communication skills.Excellent time‑management and prioritization abilities.Team‑oriented and proactive, with the ability to build and maintain productive working relationships with colleagues and clients.Adaptable and able to perform effectively in fast‑paced, high‑pressure environments.