AML Compliance Officer

📋 Description

• Develop, implement, and maintain AML policies, procedures, and controls.
• Conduct AML risk assessments to identify and mitigate sanctions risks.
• Serve as primary contact for regulators, auditors, and law enforcement.
• Provide oversight over the enterprise compliance function.
• Establish relationships with peers, regulators to foster collaboration.
• Lead investigations into flagged transactions with internal teams.

🎯 Requirements

• Bachelor's in finance/business; CAMS desirable.
• Extensive AML experience in broker-dealer; KYC, CDD, EDD, OFAC.
• Knowledge of BSA, Patriot Act, CFTC/NFA, FINRA AML rules.
• Strong analytical and investigative skills; capable of investigations.
• Excellent written/verbal communication with stakeholders and regulators.
• Licensing: Series 3, 7, 24, 63; CAMS preferred.

🎁 Benefits

• Performance Bonuses
• Stock Purchase Options
• Medical/Vision/Dental Benefits
• 401k Plan
• 20 Paid Vacation Days
• 10 Paid Sick Days