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AML Compliance Analyst

19 hours, 17 minutes ago
India
Full-time
Mid Level
Compliance Manager
Finance and Accounting
Apply Now
Alpaca

Alpaca

Alpaca is a developer-first API for stock and crypto trading, offering easy-to-use APIs for building apps and trading algorithms.

Capital Markets
51-250
Founded 2015
$87M raised
View All Jobs 39

Description

  • Investigate potentially suspicious activity through transaction monitoring alerts, escalations, and referrals.
  • Prepare SAR recommendations and narratives and support the filing of approved SARs with FinCEN.
  • Screen individuals, entities, and transactions against sanctions, PEP, enforcement, and adverse media watchlists.
  • Review and respond to FinCEN 314(a) and 314(b) requests, law enforcement queries, and other regulatory inquiries.
  • Support enhancements to transaction monitoring rules, policies, procedures, controls, and risk frameworks.
  • Maintain audit-ready documentation of investigations, alert dispositions, and compliance decisions.
  • Identify and escalate critical risks, emerging trends, and compliance gaps to management.
  • Conduct CIP/KYC, CDD, and EDD reviews to assess customer and firm-wide risk.
  • Assist with due diligence and ongoing monitoring of introducing brokers, omnibus partners, correspondents, and other intermediaries.
  • Partner with internal stakeholders during risk assessments, remediation, audits, examinations, and regulatory engagements.

Requirements

  • 3-5 years of experience in Financial Crime/AML investigations.
  • Strong understanding of U.S. regulatory requirements, including BSA/AML, USA PATRIOT Act, and SEC/FINRA regulations.
  • Familiarity with trading activity and financial crime typologies such as spoofing, layering, wash trading, front-running, insider trading, and account takeover fraud.
  • Experience using transaction-monitoring, sanctions-screening, case-management, fraud-monitoring, or securities-surveillance systems.
  • Strong investigative writing skills and the ability to prepare clear, concise, audit-ready case narratives and SAR recommendations.
  • Strong analytical skills, sound judgment, attention to detail, and ability to manage multiple tasks and deadlines.
  • Experience conducting open-source intelligence research and evaluating public records, adverse media, corporate information, and other investigative sources.
  • Working knowledge of domestic and international payment systems.
  • Ability and willingness to work a schedule with meaningful overlap with U.S. Eastern Time, generally 4:00 p.m.–8:30 p.m. IST.
  • Preferred: knowledge of the fintech broker-dealer space, U.S. registered broker/dealer correspondent clearing firms, or transaction alerting platforms such as riskCanvas/Genpact.
  • Preferred: experience investigating U.S. ACH, wire, brokerage transfer, ACATS, digital-asset, or cross-border payment activity.
  • Preferred: CAMS, CFCS, CFE, or another relevant AML, fraud, or financial crime certification.

Benefits

  • Competitive salary with stock options.
  • Health benefits.
  • One-time USD $500 new hire home-office setup stipend.
  • USD $150 monthly stipend via Brex Card.

Interested in this position?

Apply directly on the company website

Apply Now

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