Sr. Client Risk Analyst

Company: TradeStation
Location: Chicago
Posted on: June 24, 2025

Job Description:

WeAreTradeStation 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 Sr. Client Risk Analyst is responsible for performing the controls in support CIP/KYC/EDD program that aligns with the Financial Crime program and the risk management structure of the affiliated entities in compliance with all applicable rules. Reporting to the Manager of Client Risk, this individual will be responsible for partnering across the first line of defense to implement controls and 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/KYA, 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, Business Leaders, Compliance, and Product Segments on projects/initiatives related to New Products and Services, CRM (Actimize, Case Manager, Salesforce/CRM, etc.) and Model Management (Customer Risk Scoring - KYC, KYA risk factors) Partner on audit reviews, regulatory exams, and review CRM responses for requested information and records Ensure colleagues are adequately trained based on their job responsibilities and corresponding job functions are adequately staffed Leading and managing processes to interact with customers, obtain additional details and exercising critical decision skills to assess risk and exposure to the firm Design and implement procedures and business process and work with cross functional teams to ensure implementation and ongoing supervision operates as designed Research and action alerts and red flags to ensure compliance with Regulation S-P and Reg S-ID. Appropriately assess risk alerts and action timely to prevent fraud and misuse of the company systems and market access by customers Lead the collaboration efforts and system between transaction surveillance, investigations and client risk to identify controls and process changes required to evolve with the changing landscape of the industry Research rules, industry guidance and prepare leadership briefings to identify emerging risks and control needs 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, Model Risk Management, etc. Knowledge of BSA/AML systems (SAS, Actimize, MTS, CSI WATCHDOG, etc.) Proven problem-solving Knowledge and experience in CDD/EDD, CIP, BO/CP compliance/operations Minimum Qualifications: Bachelor’s college degree preferred and 7-10 years of compliance experience required Minimum of 1-3 years of BSA/AML and OFAC operations and compliance experience Desired Qualifications : Series 3, and 7 required within 6 months of hire Certified Fraud Examiner ACAMS What We Offer : Collaborative work environment Competitive Salaries Yearly bonus and generous 401k plan (or pension plan in Costa Rica) 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 educational materials Pay Range (US) $87-100K. (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. LI-Hybrid

Keywords: TradeStation, Buffalo Grove , Sr. Client Risk Analyst, Accounting, Auditing , Chicago, Illinois