Trade Surveillance Analyst 1 — Financial Crimes Department
Core
Conduct investigations into suspicious financial activity, including securities fraud and market manipulation, and file Suspicious Activity Reports (SARs) for a US-headquartered brokerage infrastructure firm.
Role type
Trade Surveillance Analyst (Financial Crimes)
Builds
Scalable risk-based compliance infrastructure for BSA/AML, Anti-Fraud, and Securities Fraud Monitoring programs.
Domain
Financial Services / Regulatory Compliance / Financial Crime
Deliverable
client delivery
Required skills
Financial crime investigations (AML, fraud, securities fraud), U.S. regulatory requirements (BSA/AML, USA PATRIOT Act, SEC/FINRA), transaction monitoring systems, case management tools, SAR writing, advanced Excel (pivot tables, filtering), payment systems knowledge
Preferred skills
None stated
Technologies
None stated
Responsibilities
Collaborate with AMLCO to implement investigative procedures for CIP/KYC, AML, and fraud monitoring; Conduct in-depth investigations into suspicious activity and financial crimes; Prepare, document, and file Suspicious Activity Reports (SARs) per FinCEN requirements; Review and respond to sanctions screening alerts and regulatory inquiries; Maintain firm-wide risk assessments for BSA/AML, sanctions, and fraud; Partner with internal stakeholders during audits and regulatory engagements; Provide guidance to business units on compliance protocols; Support development of policies, procedures, and monitoring controls; Lead special projects and compile investigative findings for management and regulators
Seniority
Junior to Mid-level, hands-on IC
