Client Risk Analyst

Who We Are:

TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.

What We Are Looking For:

The Client Risk Analyst is responsible for performing the controls in support Fraud/CIP/KYC/EDD compliance program that aligns with the Financial Crimes program and the risk management structure of the affiliated entities. Reporting to the Director of Client Risk, this individual will be responsible for partnering across the first line of defense to implement controls and overseeing the second line of defense in performing the appropriate controls and verification in support of the risk framework, policies and standards. This position monitors, tests, investigates activities around the onboarding and management of clients of the entities.

What You'll Be Doing:

Perform customer due diligence and enhanced due diligence reviews for customers from all business segments

Ensure compliance with all BSA/AML requirements related to Customer Due Diligence, the CDD Rule, and KYC/KYB, and Enhanced Due Diligence requirements for all customer types

Perform CRM operations with strong operational acumen, with focus on efficiency, internal controls, effectiveness, and process improvements, leveraging automation, performance metrics and management reporting

Partner with IT, Financial Crime Leaders, Compliance, and Business Segments on projects/initiatives related to New Products and Services, Fraud monitoring tools and reports and Model Management (Customer Risk Scoring - KYC, KYB risk factors)

Partner on audit reviews, regulatory exams, and review CRM for requested information and records.

Ensure colleagues are adequately trained based on their job responsibilities and corresponding job functions are adequately staffed.

Prepare and deliver presentations to management, audit, regulators, and other stakeholders as needed

The Skills You Bring:

Ability to collaborate and partner effectively with stakeholders and peers in IT, BSA/AML and OFAC Operations, Compliance, Risk Management, etc.

Knowledge of BSA/AML and Fraud tools/systems

Proven problem-solving

Knowledge and experience in CDD/EDD, CIP, Fraud, compliance/operations

Minimum Qualifications:

Bachelor's college degree preferred, and 3-5+ years of compliance experience required

Minimum of 1-3 years of BSA/AML and OFAC operations and compliance experience

Desired Qualifications:

Series 7

Certified Fraud Examiner

ACAMS

What We Offer:

Collaborative work environment

Competitive Salaries

Yearly bonus and generous 401k plan

Comprehensive benefits for you and your family starting Day 1

Unlimited Paid Time Off

Flexible working environment

TradeStation Account employee benefits, as well as full access to trading education

Pay Range (US) $80-90K (Countries outside of the US have differing ranges in accordance with local labor markets)

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.

Permanent