AML FIU Manager – Transaction Monitoring

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel, where success meets success.

The AML Financial Intelligence Unit (FIU) Manager oversees daily activities to ensure the requirements of the Transaction Monitoring (TM) department are fulfilled, as required by Firm policies or regulatory rules.  The Manager supports the team with daily activities including, but not limited to, Suspicious Activity Reporting (SAR) oversight, program governance, metrics and reporting.  The Manager is responsible for training, leading and mentoring department analysts and ensuring completion of their assigned duties. Additionally, this role will support the AML FIU Director on overseeing internal procedures, special projects and other team initiatives. 

• Develop and lead AML & Financial Crimes analysts, including providing coaching and supporting team culture and dynamics, to meet high performance standards.
• Provides guidance to analysts when researching existing and new accounts to identify negative trends and change in customer transaction behavior for suspicious activity.
• Identify potential gaps in AML-FIU-TM processes and spearheads small projects to implement solutions.
• Conduct or oversee quality and accuracy reviews on associates within the AML-FIU team to ensure the associate's review is complying with specific AML-FIU-TM policies and procedures.
• Establish relationships with other leaders and managers in other business units and support teams, throughout compliance and firm, to influence excellent information flow and feedback on the impacts of process, policy and product changes.
• Exercise excellent independent judgment and discretion when making decisions or recommendations in relation to each alert/case decision and investigation.
• Review and approve Suspicious Activity Reports (SAR) for the AML-FIU-TM team.
• Assist in monitoring rule changes or regulatory developments related to AML.
• Assist in writing, maintaining, and auditing policies and procedures specific to AML-FIU-TM and provide training and guidance to analysts for new functions.
• Refers and escalates cases as appropriate to law enforcement and management.
• Work closely with AML-FIU Director to ensure the workflow is prioritized based on staffing and capacity

• Experience conducting and/or leading global complex financial crimes investigations, including fraud, money laundering, and other illicit financial activities involving global clients, with an emphasis on analyzing financial activities, identifying potential risks, and addressing complexities arising from international client relationships
• Advanced understanding, knowledge, and experience in the financial industry, including operational and risk/control, financial markets, products, and an understanding of the transaction life cycle.
• Strong knowledge of Compliance analysis and reporting with the ability to identify and affect appropriate risk and control mechanisms.
• Knowledge of relevant regulations and standard industry processes within Capital Markets.
  Intermediate knowledge of trade surveillance.
• Advanced Understanding of laws, legal codes, government regulations, and agency rules, including SEC/Exchange rules/regulations, Industry practice, and their application.
• Dedicated to accomplishing goals; willing to take on additional responsibilities to produce outstanding work; strives for excellence; maintains a positive attitude through stressful situations.
• Excellent written and verbal communication skills 
• Able to use logic and reasoning to identify strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Works closely with the Compliance team to producing accurate work in a timely fashion.
• Able to multitask and ensure deadlines are met.

• Minimum Required: Bachelor's Degree
• Minimum Required: 7+ years of AML Brokerage or Banking Experience and 2 years of Management experience.

• Minimum Required: Series 7 & 63

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.