Business Analyst - Associate

Century Group is partnering with a client that is seeking a Associate Business Analyst to assist their team. Exact compensation may vary based on skills, experience, and location. Expected starting pay rate of $28.00 to $30.00 per hour. Applicants form the Atlanta, GA and Scottsdale, AZ area are also encouraged to apply

Job Responsibilities:

• Identify and investigate activity that may be suspicious or fraudulent using internal systems and escalations from business units.
• Conduct and document thorough reviews of alerted matters and maintain clear organized case files.
• Prepare reports for regulatory needs such as suspicious activity reports in line with procedures and standards.
• Work with advisors supervisors and partners to gather information and documentation that supports case resolution.
• Escalate issues that indicate policy concerns higher risk exposure or potential violations in a timely manner.

• A Bachelor degree preferred or a high school diploma or GED with significant practical experience.
• 3+ years in the securities industry and two to three years investigating financial crime matters.
• Use transaction monitoring systems with confidence and document conclusions with strong case writing.
• Possess strong verbal and written communication skills along with solid organization and time management.
• Use Microsoft Office tools including Word Excel and Access to analyze data and prepare reports.

• Apply general compliance knowledge including rules from FINRA and the SEC and relevant firm policies.
• Utilize public and non public sources to investigate financial crime and maintain strict confidentiality.
• Interpret regulatory notices manuals and internal policies and explain requirements to stakeholders.
• Understand retail brokerage advisory business models and common investment products and fee structures.
• Hold credentials such as CAMS or similar viewed as a plus along with experience in information sharing programs.