KPMG Assignment Select is geared toward independent professionals interested in temporary or project-based work. Our team is comprised of highly trained third-party professional individuals who are in the right place, at the right time, with the right skillset.
KPMG is working through its partnership with MBO Partners and is currently seeking a remote contractor in the United States.
Brokerage AML Investigator
Please note: Candidates with EDD/KYC and Fraud experience are not a fit for this role. Looking for seasoned investigator candidates that will be able to conduct case investigations.
Responsibilities:
Perform analysis of transactional data for suspicious activity, fraudulent transactions, and money laundering patterns.
Pull transactional records from bank systems, conduct internal/external research on customers.
Investigate findings to determine if the case can be closed or escalated for suspicious activity reporting (SAR).
Draft SAR narratives.
Manage and complete a daily/weekly number of cases provided to clear.
Report on daily production completion to Team Leads.
Act with integrity, professionalism, and personal responsibility to uphold the firm's respectful and courteous work environment.
Qualifications:
US banking experience is a must.
FINRA licenses including the SIE or Series 7, Series 4, Series 24 - Preferred.
Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
Securities trading experience in equities, bonds, options, futures contracts.
Transaction analysis and how it relates to FINRA Red Flags and associated risk.
Knowledgeable in the areas of research: ACAT Transfers/Rejections, Special handling, and transfers between category types (Type 1 = Cash, Type 2 = Margin, Type 3 = Short, etc.).
Back Office/Front Office Experience, including security reconciliation, margin reconciliation, securities processing/master.
Experience performing AML investigations in a brokerage account (with broker-dealer) and retail banks.
Minimum 5 years Business & Functional Experience.
Minimum 3 years experience with AML, transactional analysis of data, Anti-Money Laundering (AML) signals, structuring, and experience writing Suspicious Activity Reports (SARs).
Bachelor's degree, or equivalent work experience, in areas such as financial services, investigative service, or law enforcement.
Experience performing AML investigations work in a bank or financial institution.
Experience in retail banking is nice to have but not required.
Must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. KPMG LLP will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).
KPMG complies with all local/state regulations in regard to displaying pay rate ranges. The pay rate range(s) displayed is/are specifically for those contracted who will perform work in or reside in the location(s) listed below, if selected for the role. Pay is determined based on a variety of factors including market data, ranges, applicant's skills and prior relevant experience, certain degrees and certifications (e.g. JD, technology), and specific location, for example. Additionally, applicants may be required to apply and become employed by a service provider utilized by KPMG, and final pay rate(s) and/or eligibility for additional benefits may be determined by such provider.
KPMG and MBO Partners are equal opportunity employers/contractors. All qualified applicants are considered without regard to race, color, creed, religion, age, sex/gender, national origin, ancestry, citizenship status, marital status, sexual orientation, gender identity or expression, disability, physical or mental handicap unrelated to ability, pregnancy, veteran status, unfavorable discharge from military service, genetic information, or other legally protected status.
Los Angeles County applicants: Material job duties for this position are listed above. Criminal history may have a direct, adverse, and negative relationship with some of the material job duties of this position. These include the duties and responsibilities listed above, as well as the abilities to adhere to company policies, exercise sound judgment, effectively manage stress and work safely and respectfully with others, exhibit trustworthiness, and safeguard business operations and company reputation. Pursuant to the California Fair Chance Act, Los Angeles County Fair Chance Ordinance for Employers, Fair Chance Initiative for Hiring Ordinance, and San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
