Compliance- AML Manager

Compliance- AML Manager

Location: New York City, NY

Schedule: Hybrid

Employment Type: Full-Time

Please read the information in this job post thoroughly to understand exactly what is expected of potential candidates.

About the Opportunity

A leading financial services organization is seeking an experienced Director of AML Compliance to oversee and enhance its AML compliance program.

This position offers the opportunity to lead regulatory compliance initiatives, strengthen financial crime controls, and collaborate with senior leadership to ensure adherence to evolving regulatory requirements.

Key Responsibilities

• Oversee and manage the firm's AML compliance program in accordance with BSA/AML, FINRA, SEC, and applicable regulatory requirements.
• Lead AML investigations, transaction monitoring, suspicious activity reporting, and risk assessments.
• Maintain and enhance compliance policies, procedures, internal controls, and regulatory reporting processes.
• Manage regulatory examinations, audits, inquiries, and remediation initiatives.
• Partner with internal stakeholders to improve AML systems, data processes, and operational efficiencies.
• Provide strategic guidance to senior leadership on financial crime risks and regulatory developments.
• Lead and support AML compliance personnel, promoting a strong culture of regulatory compliance.

Requirements

• Active FINRA Series 7 license required.
• FINRA Series 24 license required or ability to obtain following hire.
• Significant AML compliance experience within a FINRA-registered broker-dealer .
• Strong knowledge of BSA/AML, FINRA, SEC, and applicable financial services regulations.
• Experience managing AML programs, regulatory examinations, investigations, and remediation efforts.
• Familiarity with AML monitoring systems, data analytics, and regulatory reporting.
• Strong leadership, communication, and stakeholder management skills.
• Ability to work on-site four days per week.

Preferred Qualifications

• Experience within a clearing firm, brokerage, or other regulated financial services environment.
• Experience improving AML processes, systems, and compliance controls. xzgxqkn

Compensation & Benefits

Competitive compensation package, including a base salary, performance-based bonus eligibility, comprehensive benefits, and professional development opportunities.