Truist GCO Wealth Supervision - AML/Fraud Risk Analyst 

United States, Florida 

261870958

Regular or Temporary:

English (Required)

1st shift (United States of America)

ESSENTIAL DUTIES AND RESPONSIBILTIES
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

1. Analyze customer transaction activity to ascertain legitimacy of the business and the business transactions, ensuring that the transaction activity is commensurate with the nature of the business entity and historical patterns. Communicate with Relationship Managers, branch associates and others as needed to gather additional client information.
2. Analyze and track escalations of elder concerns. Connect with Advisors and Supervisors as needed to discover root cause and further escalate as appropriate.
3. Analyze and track other escalations of potential fraud from all sources include teammate concerns, privacy concerns, negative news alerts, and teammate escalations. Connect with Advisors and Supervisors as needed to discover root cause and further escalate as appropriate.
4. Conduct and monitor negative news screening.
5. Assist with International client onboarding.
6. Act as subject matter experts for Unusual Financial Observation filings. Liaise with AML Officer as necessary.
7. Conduct regular reporting on fraud escalations.
8. Maintain a strong knowledge of all applicable current and proposed regulations, including FINRA 19-18 Red Flags monitoring, Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) laws and regulations, and FINRA notices on elder fraud.

Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor’s degree
2. A minimum of 7 years of industry experience in a financial institution with emphasis in operations, supervision and/or risk management
3. FINRA Series 24
4. Knowledge of retail financial institutions with emphasis in operations, supervision, compliance, and/ or risk management
5. Knowledge of securities markets and the retail brokerage business
6. Knowledge of regulatory environment
7. Strong analytical skills and experience working with data and reporting
8. Strong written and oral communication skills
9. Detail oriented and able to work independently while juggling multiple priorities
Preferred Qualifications:
1. FINRA Series 7 and/or 66
2. 7 to 9 years of business experience in retail brokerage with an emphasis in operations, supervision, compliance, and/ or risk management
3. Bachelor’s degree in business, accounting, finance, banking or equivalent education and related training
4. Banking or Investment securities experience
5. SQL and/or advanced MS Excel skills