TD Ameritrade IP Company, Inc
This position serves an important role in supporting the TD Ameritrade Anti-Money Laundering (AML) Compliance Program through surveillance testing techniques, reviews, as well as providing support in the development and automation of in-house scenarios. The purpose of the Surveillance Testing Program involves one central framework to achieve completeness and accuracy validation of the data feeding the surveillance systems as well as ensuring proper and effective scenario functionality. The results of these exercises will provide Anti-Money Laundering (AML) Senior Management with confidence that data sources are complete and accurate and that scenario functionality is in line with expectations.\u00a0 With this information, AML Compliance is more prepared to identify potential gaps or malfunctions in the overall surveillance program.\u00a0 The products included in the AML and Associate Surveillance Program includes securities trading, monetary movements and Associate related activities.
\tContribute to the execution of an AML Surveillance\u00a0 testing program.\u00a0 This includes validating the completeness and accuracy of data which feeds into the AML surveillance systems, ensuring proper functionality of all AML surveillance scenarios, and effectively tracking progress and documenting results associated with these responsibilities.\tPerforming planning, scoping and sampling activities related to test reviews.\tExecuting testing, including documenting, assessing and reporting testing results.\tIdentifying, communicating and escalating issues as appropriate, including ensuring that corrective action plans adequately address risk and are completed on time.\tCommunicating with stakeholders throughout the review process, including obtaining information as necessary to complete testing.\tContribute to the development and maintenance of proprietary AML surveillance and monitoring strategies through data queries and reporting\tContribute to the development and maintenance of proprietary (in-house) AML surveillance scenarios.\tAssist other AML teams with analytics, reporting, or strategy needs as identified by management.
\tBA/BS Degree.\u00a0 Business related discipline preferred\t2 years related experience\tAbility to work independently with supervision.\tCapable of\u00a0 building relationships and interacting effectively with key internal and external partners.\tAbility to manage multiple tasks and deliver quality results within predefined, short timeframes.\tStrong abilities in analytical thinking, problem solving, time management, and verbal and written communication.\tKnowledge of data analytics techniques, systems testing, user acceptance testing, and/or IT areas is preferred.\tWorking knowledge of Microsoft SQL Query logic with comfort in the one or more of the following RDBMS systems (Oracle, SQL Server, Postrgres, Netezza, Cach\ufffd) preferred.\tQuantitative/analytical background, data analysis proficiency with data tools including Tableau, Crystal, Business Objects, Netezza, WinSQL, or equivalent preferred.\tBasic understanding of rules, regulations and best practices relating to Bank Secrecy Act/AML/OFAC preferred.\tPrior AML compliance, risk management or audit experience a plus.\tMilitary education or experience may be considered in lieu of civilian requirements listed
TD Ameritrade IP Company, Inc
Website : https://www.tdameritrade.com
When the Securities and Exchange Commission eliminated the practice of fixed brokerage commissions on May 1, 1975, none of the major brokerage firms at the time thought anyone would ‘break ranks’ and offer discounted commissions. But, a handful of small firms, including First Omaha Securities, Inc., saw a unique opportunity. First Omaha Securities evolved into TD Ameritrade, and for over 35 years has remained a pioneer in an industry that continues to innovate new ways that make Wall Street more accessible to the individual investor. In the 1980s and 1990s, TD Ameritrade pioneered a number of ‘firsts,’ leveraging technology to make investing easier, faster, and more efficient. In 1988, the company was the first to offer touch-tone phone trading. And, in 1995 it acquired K. Aufhauser & Co., which was credited with executing the first online trade in 1994. Following its Initial Public Offering (IPO) in March 1997, the company combined its various brokerage units into one broker dealer, Ameritrade, Inc., and launched its first national advertising campaign, complete with a pricing philosophy that continues today.