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Anti-Money Laundering Compliance Associate

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COMPANY SUMMARY
Established in 1832, Janney Montgomery Scott LLC provides comprehensive financial advice and superior service to individual, corporate and institutional investors.
A full-service, financial services firm, Janney is committed to providing our individual client’s advice through a wealth management approach by focusing on the delivery of strategic financial plans that utilize a variety of financial products and services best suited to help meet their financial goals.

Janney is equally committed to providing our corporate and institutional clients objective advice for the successful execution of their unique business plans. Janney provides advice and service to clients through a network of professionals in branch offices located along the entire east coast. Janney is an independently operated subsidiary of The Penn Mutual Life Insurance Company, the seventh largest mutual insurance company in the nation based on capital, and is a member of the New York Stock Exchange, Financial Industry Regulatory Authority and the Securities Investor Protection Corporation.

POSITION SUMMARY
The Anti-Money Laundering Compliance Associate will be responsible for assisting the Anti-Money Laundering Officer in the administration of Janney’s Anti-Money Laundering program. The Associate’s primary duty will be monitoring client account activity to ensure that Janney’s anti-money laundering policies and procedures are being properly implemented. This includes reviewing exceptions generated during client on-boarding and transaction monitoring referrals.

The Associate will look for and investigate suspicious patterns of activity, and where necessary, will escalate such referrals to the AML Officer. The Associate will be familiar with Janney’s Anti-Money Laundering program and will be available to answer questions from FAs and BOMs regarding Janney’s AML policies and procedures. The associate will also assist in the collection and production of responsive materials during the course of regulatory inspections.

ESSENTIAL DUTIES AND RESPONSIBILITIES
• Daily surveillance of CIP exceptions
• Resolve outstanding exception items generated by manual and automated surveillance tools and
• Manage the tracking of the items, including coordinating the communication process with the necessary individuals within the firm to ensure proper action and follow through
• Assist with SAR investigations by preparing case files for review (e.g. media search results, copies of statements/checks, results from internal system searches, etc.)
• FinCEN 314(a) requests
• Assist with tracking of annual AML training
• Assist with annual AML certifications

QUALIFICATIONS AND COMPETENCIES
• 4 year college degree (preferred) or equivalent experience
• 2 years of industry experience preferred
• Series 7 license preferred
• Good verbal and written skills
• Basic Microsoft Word, Excel, and PowerPoint skills required

Candidates interested in this position should submit their resume and cover letter to the Janney Recruitment Team at resumes@Janney.com.

Janney Montgomery Scott LLC is an equal opportunity employer

© 2011 Janney Montgomery Scott LLC. All Rights Reserved.

Member: NYSE, FINRA, SIPC