AML Investigation Manager (Securities/Options)
Posted on: 14 Sep 2021
Westlake, TX | Westlake, OR
Job Description
About the role
Robinhood is looking for an AML Investigations Manager with broker-dealer experience to join the AML Investigations department. The AML Investigations Manager will be responsible for supervising AML investigation and suspicious activity report production related to securities/options. The team lead will also be responsible for assisting with the development of policies and procedures, conducting training, and developing new hires. The role r will support the AML Investigations department in managing risk and monitoring customer behavior to ensure we meet our requirements under Firm policy, the BSA, FinCEN guidance, SEC rules, and FINRA regulations.
What you’ll do day-to-day:
Oversee a team of investigators including day-to-day production, training, and professional development
Manage AML investigations including daily workflow, operational queues, suspicious activity reporting, and metrics
Investigate trade surveillance escalations and filings of Suspicious Activity Reports (SARs) where necessary
Assist in developing and training AML investigators
Assist in developing and enhancing AML investigations-related policies, procedures, and desktop aids
Conduct, review, and evaluate investigations and findings leveraging AML subject-matter expertise
Support program-wide investigations through gathering data and/or documentation
About you:
Oversee a team of investigators including day-to-day production, training, and professional development
Manage AML investigations including daily workflow, operational queues, suspicious activity reporting, and metrics
Investigate trade surveillance escalations and filings of Suspicious Activity Reports (SARs) where necessary
Assist in developing and training AML investigators
Assist in developing and enhancing AML investigations-related policies, procedures, and desktop aids
Conduct, review, and evaluate investigations and findings leveraging AML subject-matter expertise
Support program-wide investigations through gathering data and/or documentation
Bonus points:
FINRA Series 7 & 24
Experience with Actimize and Nasdaq SMARTS Trade Surveillance system
Experience working with FINRA and other relevant regulators
Crypto currency surveillance
ACAMs Certified
Robinhood
Menlo Park, CA
Robinhood Markets, Inc. is an American financial services company headquartered in Menlo Park, California, known for offering commission-free trades of stocks and exchange-traded funds via a mobile app introduced in March 2015. Robinhood is a FINRA-regulated broker-dealer, registered with the U.S. Securities and Exchange Commission, and is a member of the Securities Investor Protection Corporation.The company's revenue comes from three main sources: interest earned on customers' cash balances, selling order information to high-frequency traders (a practice for which the SEC opened an investigation into the company in September 2020) and margin lending. As of 2020, Robinhood had 13 million users.
Robinhood is on a mission to democratize finance for all. We believe it should work for everyone and not just a few. We offer commission-free trading in one, user-friendly platform. Trading in stocks, ETFs and options is offered through Robinhood Financial LLC, member SIPC. Cryptocurrency trading is offered through Robinhood Crypto, LLC. Keep in mind other fees may still apply to your brokerage account. Please see Robinhood Financial’s Fee Schedule at rbnhd.co/fees to learn more. All investments involve risk, including the possible loss of principal. Past performance of a security, or financial product does not guarantee future results or returns. Robinhood Crypto is licensed to engage in virtual currency business activity by the New York State Department of Financial Services and is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not products protected by either FDIC or SIPC. Robinhood Financial LLC and Robinhood Crypto, LLC are wholly-owned subsidiaries of Robinhood Markets, Inc.
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IndustryBanking/Financial Services
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No. of Employees1,281+
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Website
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Jobs Posted99
