Lead Registered Compliance Officer - Anti-Money Laundering
About The Position
As a key member of the Compliance Department’s Anti-Money Laundering (AML) team, this individual leads highly complex AML compliance activities supporting the firm’s broker-dealer, registered investment adviser and affiliated insurance agency and serves as a subject matter resource on AML regulations, transaction monitoring, investigations, and financial-crime risk management. This role provides technical leadership by guiding complex regulatory interpretation, advising stakeholders, influencing risk mitigation strategies, and driving program or process enhancements. This role leads highly complex compliance work and serves as a subject matter resource across securities, broker-dealer, registered investment adviser, insurance, anti-money laundering (AML), surveillance, and related financial services functions and regulatory requirements. This role provides technical leadership by guiding complex regulatory interpretation, advising stakeholders, influencing risk mitigation strategies, and driving program or process enhancements.
Requirements
- Bachelor’s degree in business, legal studies, risk management, compliance or related field.
- 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
- 4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
- FINRA Series 7 and 24 or 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry date
- Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controls
- Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
- Experience leading AML supervisory controls, testing, monitoring, or issue remediation
- Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-making
- Ability to work with significant independence and judgment while determining approach for complex work
- Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness
Nice To Haves
- FINRA Series 65 or 66 (dependent on investment advisor support), or other FINRA registrations based on assigned responsibilities.
- CAMS, CFCS, or another relevant AML of financial-crime compliance certification.
Responsibilities
- Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations across assigned securities or regulated compliance functions.
- Evaluate complex business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify significant risks, trends, and control gaps.
- Guide interpretation of applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders on practical application.
- Lead complex AML reviews, including transaction monitoring, exception reporting, investigations, escalations, and assessment of trends, potential suspicious activity, compliance risks, and related program or control enhancements.
- Lead or coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests.
- Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies to support sustainable control improvements.
- Serve as an AML subject matter resource to business partners, compliance stakeholders, and management on complex AML requirements, financial-crime risks, and practical application.
- Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions to strengthen compliance outcomes.
- Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, or enterprise initiatives.
- Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.
Benefits
- Competitive Pay
- Bonus for Eligible Employees
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Paid Time Off starting at 160 hours annually for employees in their first year of service.
- Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance
- Employee Assistance Program
- Back-Up Care Program
- PTO for Volunteer Hours
- Employee Matching Gifts Program
- Employee Resource Groups
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs
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What This Job Offers
Job Type
Full-time
Career Level
Senior
