Trade Surveillance Analyst 1 – Financial Crimes

This is a fully remote position, open to applicants in United States.

📋 Description

• Become a part of Alpaca Securities’ vibrant and fully remote Compliance team committed to maintaining the integrity of financial markets.

• Work alongside the AML Compliance Officer to develop and enhance investigative procedures across CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives.

• Execute thorough investigations into potentially suspicious activities, including securities fraud, account manipulation, and other financial crimes flagged by transaction monitoring alerts, escalations, and referrals.

• Prepare, document, and submit Suspicious Activity Reports (SARs) in accordance with FinCEN regulations and internal policies.

• Review and address sanctions screening alerts, as well as FinCEN 314(a) and 314(b) requests, along with other regulatory inquiries.

• Continuously maintain and update comprehensive firm-wide risk assessments pertaining to BSA/AML, sanctions, fraud, and securities surveillance programs.

• Collaborate with internal stakeholders and provide assistance during external audits, examinations, and regulatory engagements.

• Offer guidance and support to various business units, including trading, operations, and customer support, to ensure compliance with established protocols.

• Keep up-to-date with regulatory changes and industry best practices, especially those related to the Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations, and SEC/FINRA rules.

• Aid in the development and enhancement of policies, procedures, monitoring controls, and compliance reporting frameworks.

• Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors.

⛳️ Requirements

• 1–3 years of experience in financial crime investigations (AML, fraud, securities fraud, or related fields).

• Solid understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT Act, SEC/FINRA regulations).

• Proven ability to identify and escalate potential market manipulation or suspicious trading activities.

• Proficient in transaction monitoring systems and case management software.

• Strong analytical, documentation, and SAR-writing capabilities.

• Excellent communication and problem-solving skills.

• Familiarity with Google Sheets or MS Excel, including pivot tables and advanced filtering techniques.

• Working knowledge of domestic and international payment systems.

🏝️ 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