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AlpacaAlpacaUnited States

Trade Surveillance Analyst 1

Conduct investigations into financial crimes, securities fraud, and suspicious trading activity for a brokerage firm. Prepare SARs, maintain risk assessments, ensure regulatory compliance with BSA/AML, SEC/FINRA, and support audits while collaborating across business units.

Salary not listed
Remote1+ YOEOther

About the role

Key Responsibilities

  • Collaborate with the AMLCO to implement and refine investigative procedures across CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives.
  • Conduct in-depth investigations into potentially suspicious activity, including securities fraud, account manipulation, and other financial crimes identified through transaction monitoring alerts, escalations, and referrals.
  • Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies.
  • Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries.
  • Maintain and continuously update firm-wide risk assessments covering BSA/AML, sanctions, fraud, and securities surveillance programs.
  • Partner with internal stakeholders and assist during external audits, examinations, and regulatory engagements.
  • Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols.
  • Stay abreast of regulatory developments and industry best practices, particularly those related to the Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations, and SEC/FINRA rules.
  • Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms.
  • Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors.

Required Qualifications

  • 1–3 years of experience in financial crime investigations (AML, fraud, securities fraud, or related disciplines).
  • Strong understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT Act, SEC/FINRA regulations).
  • Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity.
  • Proficiency in transaction monitoring systems and case management tools.
  • Strong analytical, documentation, and SAR-writing skills.
  • Effective communication and problem-solving abilities.
  • Experience with Google Sheets or MS Excel, including pivot tables and advanced filtering.
  • Working knowledge of domestic and international payment systems.

Nice-to-Haves / Benefits

  • Competitive Salary & Stock Options
  • Health Benefits
  • New Hire Home-Office Setup: One-time USD $500
  • Monthly Stipend: USD $150 per month via a Brex Card

Skills

AMLbsafincensarsecfinraofactransaction monitoringcase managementExcelGoogle Sheetskyccipsanctions screening

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