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Anti-Money Laundering (AML) Trading Surveillance Analyst II

Quick Facts

Chicago, Illinois, St Louis, Missouri ID# 2018-18516 Regular Full-Time First Level Professional


This position maintains a high degree of responsibility and serves a critical role in ensuring TD Ameritrade's ongoing compliance with highly scrutinized and visible rules and regulations.  This position is responsible for the analysis of account activity to ensure compliance with the USA Patriot Act, Bank Secrecy Act, and OFAC requirements.  The primary functions of this position are to concentrate on surveillance and monitoring reports, identify red flags, and analyze account activity for market manipulation and suspicious behavior.  Additional functions of this position may include aiding AML investigators in completing Suspicious Activity Report (SAR) filings in a timely manner and providing guidance to business partners on high risk accounts and transactions.  Individuals in this role are subject matter experts in identifying potential market manipulation, money-laundering and/or terrorist financing schemes and trends.


  • Review, analyze, and escalate market manipulation/suspicious account activity via automated and manual alert methods
  • Provide timely AML guidance to business partners
  • Build custom surveillance scenarios and monitor effectiveness
  • Review, research, document and respond to external information requests


  • 4 Year College Degree
  • Must have demonstrated experience and be comfortable making critical decisions in a time sensitive environment
  • Three or more years’ experience working with market manipulation/money laundering/terrorist financing/SAR or equivalent investigations
  • Must have demonstrated experience in applying judgment and analysis to detect and defer money laundering and market manipulation activities
  • Ability to work independently, but cohesively within a team of specialized associates.
  • Highly self-motivated
  • Familiarity with manipulative trading practices and ability to identify manipulative trading activity
  • Ability to manage and analyze large volumes of data
  • Exceptional analytical skills, judgment and attention to detail
  • Must have trading experience
  • Ability to prioritize tasks and work under pressure
  • Must be able to keep abreast of and understand current events, industry rules and regulations
  • Adept at analyzing and communicating market information
  • Strong knowledge of Microsoft Office applications, database management programs and Internet browser based applications
  • Series 7 and 63 or 66; or ability to obtain within the first 6 months of hire
  • Series 3, 24, 34 and 4 preferred
  • CAMS certification preferred
  • Military education or experience may be considered in lieu of civilian requirements listed

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About TD Ameritrade.

A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

© 2018 TD Ameritrade IP Company, Inc.

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All about growth.

By virtue of what we do, our world is filled with numbers. Here are just a few that we believe best describe TD Ameritrade at its finest.

  • 10,000 Full-time

    Graphic 2 people
  • 350+Branches
    in 49 States

    Graphic 2 people
  • 18,380 Hours Volunteered to
    Community Programs in 2017

    Graphic 2 people