AML Compliance OfficerExperience: 5+ Years
Location: New York, NY (Hybrid)
Reporting To: Chief Compliance Officer
Position Overview: As we continue to expand our reach, we are seeking an AML Compliance Officer to join our Compliance Team to assist in the expansion and enhancement of our AML and overall Compliance Program. In this position, you will be responsible for reviewing client account documentation, performing CIP, reviewing negative news, conducting follow up with Correspondents, investigating and dispositioning AML alerts, filing SARs, reviewing sanctions and assisting to ensure adherence with regulatory requirements and guidelines. This is a prime opportunity for someone looking to broaden their skillset and expand their compliance knowledge outside of just the AML arena.
Key Responsibilities:- Assist in directing the firm's regulatory priorities and compliance program
- Serve as the initial point of contact with respect to client on-boarding. This includes: obtaining and verifying client KYC documentation to ensure adherence to all Compliance policies, procedures and regulatory/AML obligations
- Conduct comprehensive internal compliance reviews such as wire and ACH surveillance activity exception reports
- Assist in responding to regulatory inquiries and audits as needed
- Draft and update policies and procedures such as WSPs and AML
- Design and administering of periodic AML, sanctions or regulatory training
- Internal communication and support for operation and development staff
- Involvement in the firm's SAR filing process
- Research and actively monitor sanctions, AML rules and updates
Qualifications:- Experience working in AML/Sanctions compliance at a broker dealer, clearing firm, regulator or financial services firm
- Proactive, self-starter -- able to work well under pressure
- SAR filing experience
- Effective communicator -- able to interact well with different teams and personalities
- Exceptional writing skills
- 314(a) review experience
- Experience with CIP, KYC, AML and Sanctions
- Background working in or subject to rules of: DTCC, OCC, SEC, and FINRA
- SIE, Series 7 and 63 (within the first 6 months of joining)
- ACAMS preferred
- 5+ years related experience
Helpful, but not required:- T-SQL + .NET(C#) + Microsoft Azure Stack
- Series 7 and 63
- ComplyAdvantage experience a plus
- Trulioo experience a plus
Benefits: - UnitedHealthcare medical coverage (multiple plan tiers, including HDHP options) - company covers 90% of premium costs, effective your first day of employment. Dental and Vision included.
- Health Savings Account (HSA) and Flexible Spending Account (FSA) options
- Paid Time Off - 20 accrued vacation days/yr, 6 sick days/yr (with carryover), 2 personal days/yr, and 1 volunteering day/yr
- 401(k) with a strong employer match - 100% match on the first 4% of employee contributions, immediately vested
The salary range for this position is $120,000 - $160,000. Actual compensation will be determined based on experience, qualifications, and other job-related factors.Salary Range
$120,000-$160,000 USD
