CornerStone Professional Placement · 17 hours ago
Brokerage AML Fraud Analyst
Charlotte, NC
Full-time
Hybrid
Senior Level
$58.45/hr - $58.45/hr
7+ years expCornerStone Professional Placement is seeking a Brokerage AML Fraud Analyst. This role involves reviewing and investigating AML Level Alerts related to money movement and trade activity, analyzing customer transactions for legitimacy, and escalating high-risk concerns.
Staffing & Recruiting
Hiring Manager
Allison Harrison
Responsibilities
Review and investigate daily AML Level Alerts involving money movement and trade activity
Work high-volume broker-dealer based alerts as they come in (team averages 400–500 alerts/day; 6–10 per person/hour)
Analyze customer transactional and account activity to determine legitimacy and identify suspicious patterns
Escalate high-risk concerns including elder abuse indicators and unusual transactional behavior
Serve as SME support for Unusual Financial Observation (UFO) filings and partner with AML Officers/Fraud Program teams
Utilize systems including Protogent AML modules and the WellsCap system to research, document, and clear/escalate alerts
Assist with manual reporting and documentation as needed
Stay current on evolving BSA/AML regulations , FINRA Red Flags, and compliance requirements
Qualification
Required
Bachelor's degree required
7+ years of financial services experience in operations, supervision, compliance, and/or risk management
Strong Broker Dealer AML background required (brokerage experience is most important)
Knowledge of securities markets, retail brokerage, and regulatory environments
Strong analytical and reporting skills with attention to detail
Excellent written/verbal communication skills and ability to manage priorities independently
Preferred
Experience reviewing transactional activity, trades, and money movement alerts preferred
Preferred: FINRA Series 7/66 and/or Series 24
Preferred: Advanced Excel and SQL skills
Benefits
Benefits: Available while on contract
Company
CornerStone Professional Placement
CornerStone Professional Placement is a trusted national search and staffing firm specializing in direct hire, executive search, and professional placement services across public and private sectors.
Founded in 1991Dallas/Fort Worth, Texas, US
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase