Job Description
Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals-including traditional and hybrid RIAs-to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients
Lead with Purpose. Partner with Impact. As an AML Analyst, you will proactively interact with various departments within Kestra and third-party vendors to ensure that AML-related procedures and processes are being executed within industry regulations and Kestra policies.
What You'll Do: - Conduct reviews and investigations into possible violations of AML policies and procedures
- Answer AML and privacy questions
- Execute review of alerts in firm's Customer Identification Program (CIP)
- Promptly review FinCEN client checks
- Review clearing firm generated alerts and reports
- Review alerts and reports generated by AML platforms (e.g. LexisNexis, Protegent, etc.) for further action or clearances.
- Coordinate with AML Team to prepare and file Suspicious Activity Reports, FinCEN 314(a) and 314(b) requests.
- Work with and notify team of any violations or issues due to AML activity.
- Serve as a point of contact with third party vendors when a privacy breach occurs.
- Coordinate with AML Team and Field to review and resolve privacy breaches-including notifications to clients and State Attorneys Generals when required.
- Conduct investigations into potentially suspicious activity.
- Exhibit the subject matter expertise necessary to provide key insights related to data reviews.
- Identify and problem solve systemic or efficiency issues, potentially across departments.
- Stay up to date with AML and privacy regulations including but not limited to: Bank Secrecy Act, the Patriot Act, OFAC Sanctions, the Fact Act, and Reg S-P
- Assist management in assigned tasks.
What You Bring: - Bachelor's degree required or relevant work experience
- 2+ years' experience in an analytical role within a broker/dealer environment or 3 years of industry experience.
- Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork
- Excellent written and oral communications skills
- Ability to communicate and work with all associates of all levels within our organization
- Ability to prioritize multiple tasks and manage projects effectively
- Attention to detail and organizational skills
- Ability to work independently and focus on job tasks with little hands on supervision
- Ability to learn different software systems
- Strong analytical skills and ability to research items in an efficient and timely manner
- Software knowledge of MS Word, Excel and Outlook
CERTIFICATIONS, LICENSES, REGISTRATIONS: - Series 7 required
- Series 24 required (or obtained within 90 days of employment)
- Cams preferred or needs to be obtained
Internal Application Policy: Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
Benefits to support you: - Competitive pay and benefits with a large employer (over 1600 employees nationwide)
- 401(k), health insurance, and a competitive benefits package
- Work in a supportive, collaborative environment committed to professional excellence
- Help clients navigate meaningful financial decisions with confidence
- Opportunities for training, development, and long-term growth within the firm
- Tuition reimbursement for qualified expenses
Kestra Values: Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team.
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Apply Today Lead with purpose. Apply now and help shape the future of Kestra.
Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
- You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
- It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
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Work experience placement