Wealth Transaction Monitoring Lead Analyst, Vice President
Core
Design and deploy suspicious activity monitoring models for broker-dealer customers, brokerage accounts, securities activity, and cash movements to mitigate financial crime risks.
Role type
Senior IC AML transaction monitoring lead (broker-dealer)
Builds
Production transaction monitoring models, scenarios, and investigative workflows for broker-dealer and Wealth activities
Domain
Financial services / Anti-Money Laundering (AML) / Broker-dealer
Deliverable
production ML models
Required skills
AML transaction monitoring, SQL, Python, data modeling, scenario development, feature engineering, risk identification, brokerage product knowledge, trade lifecycle knowledge, clearing and custody processes
Preferred skills
None explicitly stated as preferred capabilities (only experience requirements listed)
Technologies
SQL, Python
Responsibilities
Develop business and technical requirements for monitoring broker-dealer and Wealth transactions; Apply data analytical techniques to profile data and engineer features; Translate broker-dealer business risks into monitoring controls; Evaluate controls for various transaction types; Partner with stakeholders to identify data sources and controls; Produce audit-ready documentation.
Seniority
Vice President, Senior leadership with hands-on IC execution