AML Analyst

Apex is currently seeking an Anti-Money Laundering Analyst with investigation and prevention experience in the brokerage or banking industries.  The role focuses on the development and maintenance of a robust detection and prevention program, which includes investigating, and processing, system-generated suspicious transaction alerts as well as responding to a variety of internal and external inquiries.    

We are looking for someone who: 

• Thinks strategically and is inquisitive – You are intellectually curious and love finding and solving challenges with creative and simple solutions.  You find ways to get things done efficiently without sacrificing quality. 

• Takes initiative and is a high performer – You are driven to be the best.  You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same. 

• Have great communication skills - Not only are you articulate when verbally communicating, but you can get the message through in a written format.  You also provide alternatives for clients when there is no way to meet their demands.  

• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks. 

• Investment Securities Experience - You are organized, understand investment terminology, and can speak conversationally about investing concepts.   

What you will do all day: 

• Monitor Account Activity - Your primary duty will be reviewing account information for suspicious activity as well as transactional alerts for potential money laundering violations.  You will use a variety of tools and resources to help identify activity that could pose a risk to the firm. 

• Investigate red flags or suspicious activity - You will use unconventional sources to find any customer that has or may violate federal laws or security laws.  You will also assist in the Suspicious Activity Reporting (SAR) process and analyze bi-weekly FINCEN notifications and OFAC screens. 

• Complete diligence on individuals, corporations, and foreign entities – You are always looking for data and information that will help us identify risk.  Your goal is to reduce the amount of bad actors trying to get access to the financial system through Apex. 

• Report on newly issued Sanctions – You will review OFAC press releases and provide guidance as to the application of sanctions to Apex’s business. 

• Document your findings - You will document your reviews and your findings.  You will continually monitor activity to ensure manipulative activity does not occur.   

A few reasons why you might love working here: 

• Our Compliance track record – We have an incredible Compliance track record.  We foster a culture of Compliance throughout our firm. 

• Our team is passionate and driven to succeed - We work as a team and build off of each other’s knowledge and ideas.  We encourage growth and give you a platform to succeed.   

• You’ll have genuine opportunities for growth - We care about your career goals and provide options for growth.  We encourage outside learning, education, and we look to promote within. 

And a few reasons why you may not love us: 

• You like to have a checklist of things to review - Each situation may present something new and unknown.  You will need to find problems, solutions and accept new challenges.  If you would prefer to have your manager’s buy-in every step of the way, this is not a job for you. 

• You don’t like change - This is not a job for someone who likes ‘predictable’.  Our customer’s needs are dynamic and can change rapidly, which means the work is dynamic.  It is a fast-paced environment, and you need to adapt accordingly.  You will not be bored. 

• You’re not the collaborative type - We bring ideas to the table, and we work together to solve these challenges.  If you are looking solely to be an independent contributor, this might not be the right position for you. 

The skills you will need to succeed: 

• AML experience in financial securities industry; Sanctions experience is strongly preferred 

• ACAMS certification and/or SIE is strongly preferred 

• Bachelor’s degree and/or Associate’s degree plus equivalent combination of education, additional certification and/or experience 

• Strong verbal and written communication skills 

• Highly motivated with capability to work with minimum supervision on a wide range of matters 

• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail 

• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential

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