Financial Crime Compliance Officer, VP
About The Position
Cantor Fitzgerald Securities is seeking an experienced and knowledgeable Financial Crime Compliance Officer, VP. This role is crucial in maintaining the integrity of our organization's financial operations and ensuring compliance with anti-money laundering regulations. The ideal candidate will have a deep understanding of BSA/Patriot Act and financial crimes within a regulated broker-dealer environment, and will bring extensive experience in AML program management and regulatory compliance.
Responsibilities
- Prepare for regulatory changes and policy revisions.
- Manage and execute second-line monitoring and assessment for AML compliance.
- Enhance and maintain AML policies, procedures, and surveillance methods.
- Lead the design and implementation of a robust trade surveillance program.
- Manage and refine alerting parameters and exception reports.
- Improve tools for monitoring and reporting suspicious activities.
- Conduct file reviews to ensure compliance with policies.
- Aid in developing a risk assessment framework for customer interactions.
- Provide timely feedback on escalated cases.
- Investigate and resolve AML incidents and cases promptly.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
