Vice President, AML Compliance
About the Company
Digitally-driven brokerage & wealth management platform
Industry
Financial Services
Type
Public Company
Employees
51-200
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 a subject-matter expert with significant AML experience within a FINRA-registered broker-dealer, including CDD, EDD, transaction monitoring, sanctions screening, and SARs. The VP/AML Compliance will also be tasked with designing and optimizing AML data flows, reporting, and surveillance processes, as well as partnering with technology, operations, and data teams to implement and refine AML systems and controls. Applicants must have a strong background in AML data, systems, and reporting, with familiarity in Actimize or similar platforms being preferred. The role involves managing AML alerts, investigations, and escalations, maintaining AML WSPs, risk assessments, and internal controls, and ensuring ongoing compliance with regulatory requirements. The ideal candidate will have a Broker-dealer experience, a FINRA Series 7 License, and a Series 24 (or the ability to obtain within 4 months of hire). Excellent communication skills, the ability to influence business decisions, and a proactive approach to building and maintaining strong internal and external relationships are essential. The VP/AML Compliance will also be expected to provide guidance and training to AML staff and stakeholders, as well as prepare for and respond to regulatory exams, audits, and inquiries.
Travel Percent
Less than 10%
Functions
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