Lead Registered Compliance Officer - Anti-Money Laundering (Retirement) - Hybrid
About The Position
As a key member of the Compliance Department’s Anti-Money Laundering (AML) team, the Lead Registered Compliance Officer leads highly complex AML compliance activities supporting the firm’s broker-dealer, registered investment adviser, trust company, and affiliated insurance agency. The position serves as a subject matter resource on AML regulations, transaction monitoring, investigations, and financial-crime risk management. The role provides technical leadership by guiding complex regulatory interpretation, advising stakeholders, influencing risk mitigation strategies, and driving program and process enhancements. It leads complex compliance reviews and cross-functional initiatives, supports regulatory examinations and inquiries, and helps strengthen AML controls and compliance outcomes. This is a hybrid position requiring three days in the office each week at a hub location in Cedar Rapids, Denver, or Philadelphia. Occasional travel may be required for team meetings, training, regulatory matters, or business partner support. Relocation assistance is not provided. Applicants must be authorized to work in the United States without immigration-related sponsorship.
Requirements
- Bachelor’s degree in business, legal studies, risk management, compliance, or a related field.
- At least 7 years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.
- At least 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 Series 6 and 26, depending on broker-dealer activities; alternatively, obtain the required registrations within 6 months of the job entry date.
- Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, and 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 an approach for complex work.
- Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems.
Nice To Haves
- FINRA Series 65 or 66, depending on investment adviser support, or other FINRA registrations based on assigned responsibilities.
- CAMS, CFCS, or another relevant AML or 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, and other assigned activities 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, and 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, and enterprise initiatives.
- Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.
Benefits
- Competitive pay
- Annual bonus for eligible employees
- Benefits package
- Pension plan
- 401(k) match
- Employee stock purchase plan
- Tuition reimbursement
- Disability insurance
- Medical insurance
- Dental insurance
- Vision insurance
- Employee discounts
- Career training and development opportunities
- Paid time off starting at 160 hours annually for employees in their first year of service
- Ten paid holidays per year
- Be Well Company holistic wellness program, including Wellness Coaching and Reward Dollars
- Fifteen days of paid parental leave per calendar year for eligible employees with at least one year of service
- 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
