Anti-Money Laundering Analyst

Securities Industry Essentials – SIE - Active Series 7 & Series 66 (combo of 63 and 65) licenses (required) Job Description Responsibilities: Fully accountable for servicing and supporting our Investment and/or Banking clients. Able to clearly articulate business value proposition, matching clients with the correct set of products and services. Responsibly and professionally engage with clients to facilitate the transition of individuals whose needs are better aligned with digital solutions. Confidently articulate the value proposition for our Private Client and digital programs available. Directly responsible for providing timely responses to client service requests, received via telephone or email. Provides exceptional support and issue resolution– all client issues will be owned end to end by the associate and will be treated with a closed loop process. Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. Refer opportunities to segment partners where appropriate (including, but not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer, Digital Wealth Solutions, etc.) Manage client follow-up and adhere to all Regulatory and Compliance operating procedures Ensure that KYC/AML and other compliance norms are strictly adhered to Appropriately assess risk when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding our firm, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. Qualifications: 0-2 years relevant experience in Customer Service with emphasis in investments or investment-related products preferred. Prior work experience in a related job that would provide a comprehensive understanding of activities, policies, procedures, and concepts of the work area. Basic understanding of investment and financial planning strategies preferred. Understanding of multiple products across business lines combined with exceptional networking and relationship building skills. Excellent verbal and written communication skills. Ability to communicate at a professional level. Capable of working independently within established procedures and make decisions without manager approval. Able to perform multiple functions with a high degree of accuracy. Ability to support a diverse array of products and services. Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. Securities Industry Essentials – SIE - Active Series 7 & Series 66 (combo of 63 and 65) licenses (required) #J-18808-Ljbffr