AntiI-Money Laundering Officer

Insigneo Securities, LLC
Miami, FL Full-time
Posted on August 25, 2019
Ensure compliance with anti-money laundering laws and regulations governing our company's operations as a Securities Brokerage firm as well as our financial transactions. Monitor, review and analyze new, proposed or revised laws, regulations policies and procedures in the finance and related areas to interpret their meaning and determine their impact on existing and prospective clients. Prepare reports, exhibits and other supporting schedules that detail our firm's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions. Monitor AML risks relating to our firm's transactions and new accounts using working knowledge of the following trade tools: Actimize Anti Money Laundering module and NetX 360 system. Review, monitor and analyze activity for existing accounts, including high-risk accounts. Approve trading limits and restricting accounts that pose an AML concern for trades and securities using working knowledge of the following trade tools: Rules Engine function in the NetX 360 system. Review money movements and AML alerts. Review reports that detail our clients' safety, soundness and compliance with relevant regulations. Provide regulatory compliance AML training to all internal departments including Sales and Trading, Operations and Client Services. Develop and direct implementation of our firm's AML policies, guidelines and procedures. REQS: Bachelor's degree in any field and one yr of exp in the job or in positions dealing with compliance of AML laws and regulations for securities brokerage firms and the listed trade tools. Must also hold a FINRA Series 24 license. Mail resume, Attn: Anabelle Teves, Insigneo Securities, LLC, 777 Brickell Avenue, Suite 1010, Miami, FL 33131.