Compliance Analyst (Banking), Sr. monitors customer accounts and researches transactions to identify suspicious activity violating current anti-money laundering (AML) regulations defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses customer data mining and software tools to identify suspicious activity patterns. Being a Compliance Analyst (Banking), Sr. reviews daily Currency Transaction Reports (CTR) and Questionable Activity Reports (QAR), and submits Suspicious Activity Reports (SAR) as appropriate. Ensures adherence to Know your Customer (KYC) protocols. Additionally, Compliance Analyst (Banking), Sr. may lead or participate in investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Keeps abreast with regulatory changes, risk management best practices, and trending methods used by fraud perpetrators. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide a well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a manager. The Compliance Analyst (Banking), Sr. occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be a Compliance Analyst (Banking), Sr. typically requires 2 -4 years of related experience. (Copyright 2024 Salary.com)
MIAX has built a multi-disciplinary team of professionals with deep expertise in the trading industry, working to bring enhanced market structure, technological innovation and superior customer service to the exchange space. We offer a challenging and rewarding work environment with an entrepreneurial spirit and culture that emphasizes collaboration and teamwork while maintaining commitment to professional ethics.
MIAX continues to look for talented professionals to fill select roles throughout the company.
If you are interested in applying for a position, please send your resume, cover letter and salary requirements to hr@miaxglobal.com.
Princeton , New Jersey
MIAX is currently looking for a team oriented Compliance Analyst to join our Compliance Division. As a member of the Compliance Team, the analyst will be a part of a highly collaborative environment, working closely with team members to assist in administering the compliance program at MIAX, with a focus on the equity and options markets. The primary responsibility of the Compliance Team is to administer a compliance program that monitors the exchange trading systems for compliance with SEC and exchange rules and regulations.
Roles and Responsibilities include:
Qualifications
If you are interested in applying for a position, please send your resume, cover letter and salary requirements to hr@miaxglobal.com.
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