Vice President, AML Compliance
About the Company
Popular investment & trading platform
Industry
Financial Services
Type
Privately Held
Founded
2012
Employees
1001-5000
About the Role
The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and enforcing anti-money laundering policies and procedures. The successful candidate will be responsible for overseeing the firm's AML compliance program in accordance with the Bank Secrecy Act, USA PATRIOT Act, and relevant FINRA, SEC, and state regulations. This role requires acting as a subject-matter expert on all AML-related matters, designing and optimizing AML data flows, and partnering with technology, operations, and data teams to implement and refine AML systems. The VP/AML Compliance will also manage AML alerts, investigations, and escalations, maintain AML WSPs, and ensure the firm is prepared for and responsive to regulatory exams and inquiries. Applicants must have broker-dealer experience, a FINRA Series 7 License, and a Series 24 (or the ability to obtain within 4 months of hire). Significant AML experience within a FINRA-registered broker-dealer is essential, as is in-depth knowledge of current FINRA, SEC, state, and related regulations. The role demands a strong background in AML data, systems, and reporting, with familiarity with Actimize or similar platforms being preferred. The ideal candidate will have excellent communication skills, the ability to influence business decisions with risk-based compliance guidance, and a proven track record of building and maintaining strong internal and external relationships.
Travel Percent
Less than 10%
Functions
...Join a forward-thinking company as the Chief Marketing Officer, where you'll spearhead innovative marketing strategies that resonate with a vibrant community. In this pivotal role, you will lead a talented team, leveraging data-driven insights to enhance customer engagement...
...BSA/AML Compliance Officer To $110K Dallas, TX Job # 3484 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available...
...anesthesiology Full-time faculty qualify for full benefits and competitive salary (entry-level faculty may earn $475,000 in base and incentives) Must possess a valid California Medical License Must hold an MD, DO, or equivalent degree Must be Pediatric Anesthesia...
**Company:** Venture Smarter**Location:** Work From Home **Position Type:** Full-Time ### **&##128188; About the Role** Venture Smarter... ...### **&##128232; How to Apply****Head on over to search on Google** for **Venture Smarter** then go to our Career page from...
...Job Description &##128640; Junior Data Engineer &##128205; Location: East Windsor, New Jersey &##128221; E-Verified | Visa Sponsorship Available &##128269; About Us: BeaconFire, based in Central NJ, is a fast-growing company specializing in Software...