AML FIU Analyst I

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel, where success meets success.

What You'll Be Doing

The AML Financial Intelligence Unit (FIU) Analyst researches and analyzes transactional activity to identify possible cases of money laundering, terrorist financing, or financial crimes. The Analyst also examines and analyzes trading activity to identify potential market manipulation/abuse issues.

What We're Looking For

• Review deposits, withdrawals, transfers, and trading activity to identify money laundering, terrorist financing, and market manipulation/abuse.
• Effectively investigate, document, and identify suspicious activity and use seasoned judgment to determine if a Suspicious Activity Report (SAR) is warranted.
• Perform extensive background investigations using public and private databases per AML and other regulatory standards to help prevent operational and reputational risk.
• Prepare and file SAR's for the Transaction Monitoring team.
• Identify potential gaps in AML processes and offer possible solutions.
• Assist with the preparation and delivery of AML and other compliance training.
• Provide customer service by responding to calls from other departments regarding potential suspicious activity and assisting branches/departments in preparing and responding to AML inquiries.
• Assist in the training of new associates.
• Assist in creating and maintaining up-to-date policies and procedural documentation.
• Other duties as assigned by Manager.

What You'll Bring

• Ability to handle sensitive information confidentially and professionally.
• Basic understanding, knowledge, and experience in the financial industry, including operational and risk/control, financial markets, products, and an understanding of the transaction life cycle.
• Working knowledge of relevant regulations and standard industry processes.
• Ability to identify and affect appropriate risk and control mechanisms.
• Demonstrate professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment.
• Use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Basic understanding of laws, legal codes, government regulations, and agency rules, including SEC/Exchange rules/regulations, industry practices, and Stifel policies and their application.
• Manage one's own time and priorities to ensure the meeting of deadlines.
• Excellent verbal and written communication skills.

Education & Experience

• Minimum Required: Bachelor's Degree in a related field or equivalent combination of education and experience. Master's Degree in Law, Criminal Justice or related field preferred.
• Minimum Required: 2+ years' of experience in the financial industry or related field, or an advanced degree in a related field.
• Experience in AML or related field is preferred.

Systems & Technology

• Proficient with Microsoft 365 (Outlook, Word, Excel, and PowerPoint).
• Familiarity with AML software and SQL Server.
• Experience with AML software and/or capital markets surveillance is preferred.

About Stifel

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.