AML Investigator (Broker Dealer)
: Job Details :

BIP.Monticello Consulting is looking for talented individuals who wants to develop their skills and build a world-class consulting tool kit. At BIP.Monticello, we offer an alternative path to a highly successful career in management consulting within the financial services industry. The Financial Services industry is operating in a challenging environment due to global economic pressure, increasing regulatory demands and capital requirements, and significant operational and technology changes.

Our Banking/Capital Markets project teams provide management consulting services to help major financial institutions around the world respond to their most complex business challenges. Our consultants must be technologically savvy forward thinkers who possess the ability to guide our clients to their desired future state.

What will you do at BIP.Monticello:

We are seeking a detail-oriented and motivated Broker and Broker-Dealer Investigator to support our efforts in identifying risks and red flags associated with brokerage clients and broker-dealer activities. The ideal candidate will possess a bachelor's degree or relevant experience, with a strong background in financial investigations and compliance.

• Conduct comprehensive investigations into brokerage clients and broker-dealer activities to identify potential risks, irregularities, and compliance issues.
• Analyze transaction data, account activity, and documentation to detect suspicious behavior and fraudulent activities.
• Collaborate with cross-functional teams to develop and implement risk assessment strategies that enhance brokerage compliance and operational integrity.
• Provide actionable insights and recommendations based on investigative findings to foster transparency and mitigate financial risks.
• Stay updated on industry trends, regulatory changes, and emerging threats relevant to brokerage firms and their operations.
• Prepare detailed reports summarizing investigation results, risk assessments, and compliance recommendations for clients.
• Engage with clients to understand their specific needs and provide expertise to strengthen their investigative and compliance frameworks.

Qualifications:

• Bachelor's degree in Finance, Business Administration, Criminal Justice, or a related field, or equivalent relevant experience.
• Prior direct experience in AML investigations with a focus on broker dealer products and relationships.
• Strong background in financial investigations, with a focus on brokerage clients and broker-dealer activities.
• Knowledge of risk assessment methodologies and regulatory compliance requirements in the financial services industry.
• Excellent analytical skills with the ability to identify patterns, risks, and red flags in financial data.
• Strong communication skills, both written and verbal, with the ability to present findings clearly and persuasively.
• Proficient in utilizing investigative tools, financial databases, and analytical software to conduct thorough research.

**The base salary range for this role is $60,000-$125,000**

Take the Next Step – Join Us Today!

We are looking for leaders that will effectively drive the future success of both our firm and our clients as we continue up the steep trajectory of BIP.Monticello's growth story. The firm has been growing and with new practice areas and service offerings being rolled out over the next three years, we expect the growth and career opportunities for our consultants to be equally exciting. BIP.Monticello provides a competitive salary, health and dental & vision insurance, a 401K plan with match, along with paid time off benefits.

For more information about life at BIP.Monticello, visit

It is BIP.Monticello Consulting policy to provide equal employment opportunities to all individuals based on job-related qualifications and ability to perform a job, without regard to age, gender, gender identity, sexual orientation, race, color, religion, creed, national origin, disability, genetic information, veteran status, citizenship or marital status, and to maintain a non-discriminatory environment free from intimidation, harassment or bias based upon these grounds.

BIP.Monticello provides a reasonable range of compensation for our roles. Actual compensation is influenced by a wide array of factors including but not limited to skill set, education, level of experience, and knowledge.

Featured benefits

Medical insurance

Vision insurance

Dental insurance

401(k)

Paid paternity leave

Paid maternity leave