AML Investigator

Company: Robinhood
Location: Lake Mary , Florida, United States
Type: Full-time
Posted: 06.OCT.2019


About the company Robinhood is democratizing our financial system. We offer commission-free* investing and trading. Investing in stocks, ETF...


About the company Robinhood is democratizing our financial system. We offer commission-free* investing and trading. Investing in stocks, ETFs and options is offered through Robinhood Financial LLC. Cryptocurrency* trading is offered through Robinhood Crypto, LLC. Robinhood Financial, our broker-dealer, is a fast-growing brokerage firm with millions of users and billions of dollars in transaction volume. Robinhood* is based in Menlo Park, California, Lake Mary, Florida and London, UK. *Relevant SEC and FINRA or other fees may still apply. Please see Robinhood's Fee Schedule at Robinhood Crypto is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not protected by either FDIC or SIPC insurance. Robinhood means Robinhood Markets, Inc. and its subsidiaries, including Robinhood Financial LLC (member SIPC), Robinhood Crypto, LLC, and Robinhood International, Ltd. About the Role The AML Investigator will manage all aspects of an AML investigation including the analysis of internal and external data sources, conducting detailed transactional reviews, and the preparation of SARs. This person will be responsible for ensuring the Firm's compliance with Firm policy, SEC, FINRA and related regulations. In this role you will: Review and analyze alerts generated from detection scenario processes and manual referrals, the service of subpoenas and warrants, negative media reports, as well as other sources Manage the investigative process from initial detection to disposition and reporting Thoroughly and timely review reports, tools and other investigative leads that identify potentially suspicious activity Formulate and recommend responses/narratives to potentially suspicious findings, and reporting such activity to the appropriate regulatory authorities Support Supervisors and other investigators in conducting AML investigations Coordinate responses and requests pursuant to Section 314 of the USA PATRIOT Act Work with team members to determine whether to close cases, escalate findings and/or file a Suspicious Activity Report ("SAR") with the U.S. Treasury's Financial Crimes Enforcement Network Some things we consider critical for this role: Bachelor's Degree 3+ years working in compliance investigative experience Excellent written and oral communication skills Keen attention to detail, organization, and process improvements Self-starter with ability to work independently Ability to effectively manage multiple priorities and adapt to a changing environment Some things that would be amazing to have for this role: CAMS certification Masters degree SQL, VBA or basic programming skills Management experience over some aspect of brokerage operations, compliance and controls Robinhood does not accept unsolicited agency resumes. Robinhood does not pay placement fees for candidates submitted by any agency other than its approved partners.

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