Job Description
📋 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
