Cantor Fitzgerald: AML Compliance Analyst Cantor Fitzgerald: AML Compliance Analyst …

Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 03 Oct 19
Competitive
Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 03 Oct 19
Competitive
Cantor Fitzgerald: AML Compliance Analyst
Cantor Fitzgerald: AML Compliance Analyst

The Firm is looking for an individual with knowledge of the BSA/Patriot Act and has some experience in AML and Broker/Dealer Compliance.

Responsibilities:
  • Risk rating of customer accounts
  • Enhanced Due Diligence of high risk accounts
  • Surveillance; understanding and analysis of wash trade, spoofing, pump & dump scenarios
  • General understanding of broker/dealer clearing broker activities
  • Handle AML related documents, evidence and logs
  • Provide general AML Compliance support
  • Assist with ad hoc projects relating to AML Compliance as they arise

Qualifications:
  • BS or BA degree required
  • 1-2 years' work experience in a financial institution or financial services industry
  • Compliance related experience at a clearing broker dealing in Fixed Income/Municipals is a plus
  • CAMS Certification is a plus
  • Series 7 license a plus or willing to take within 6 months of hire (opportunity to earn Series 7 or CAMS for the right individual)
  • Law student pursuing a degree a plus
  • Superior written and verbal skills in order to communicate with fellow staff
  • Must be computer literate especially with MS office
  • The ideal candidate is discreet, well organized and detail oriented
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