Trade Surveillance Analyst 1 — Financial Crimes Department
AlpacaCore 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 and account manipulation. Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements. Review and respond to sanctions screening alerts and maintain firm-wide risk assessments.
Requirements
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). Proficiency in transaction monitoring systems and case management tools. Experience with Google Sheets or MS Excel, including pivot tables and advanced filtering.
Additional Information
Experience Level
Junior
Employment Type
permanent
Work Mode
Remote