We are seeking a Financial Crimes Manager to lead our Fraud and Anti-Money Laundering (AML) function across our self-directed retail broker dealer and SEC-registered investment advisor. This is a hands-on leadership role sitting within the Legal and Compliance function, reporting directly to the Chief Compliance Officer. You will own the end-to-end financial crimes lifecycle, manage a team of Fraud and AML professionals, and serve as the senior escalation point for the firm's most complex investigations. This is a hands-on leadership role at a growing financial institution where you will shape how technology, data, and advanced analytics are used to detect and prevent financial crime at scale. What You'll Do • AML Program leadership: Lead the day-to-day execution and continuous enhancement of the firm's AML Program under the direction of the AML Compliance Officer, ensuring compliance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and FINRA, SEC, FinCEN, and OFAC requirements. • Own the end-to-end FinCrimes lifecycle: Oversee the team's execution across all critical decision points in the financial crimes lifecycle, from new user onboarding through offboarding and funds recovery. • Customer due diligence: Manage a comprehensive Customer Identification Program (CIP), Know Your Customer (KYC), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) framework, including oversight of customer risk rating methodologies and ongoing monitoring activities. • Investigations: Provide senior-level oversight and strategic guidance for complex investigations involving unusual activity, suspicious activity reporting (SAR), and regulatory reporting obligations. • Surveillance: Improve surveillance effectiveness through ongoing alert calibration, scenario development, data analytics, and automation. • AI and analytics: Identify opportunities to leverage artificial intelligence and advanced analytics to strengthen surveillance, investigations, and monitoring. • Oversight framework: Support the development and maintenance of the compliance FinCrime oversight framework, specifically for AML and Fraud investigations and controls. • Cross-functional partnership: Partner with Product, Engineering, Operations, Legal, and Risk teams to design scalable financial crime controls for new products and features. • Horizon scanning: Monitor new financial crime regulatory developments and maintain oversight of the implementation of those developments that impact business activities. • Team leadership: Lead, mentor, and develop Fraud and AML personnel while fostering a culture of accountability, collaboration, and continuous improvement. Qualifications • 7+ years of progressive experience in BSA/AML, fraud, or financial crimes compliance, with meaningful experience at a broker dealer, fintech, or other regulated financial institution. • CAMS or CFE/CAFS certification(s) or equivalent required. • Deep working knowledge of the BSA, USA PATRIOT Act, and FinCEN, OFAC, FINRA, and SEC requirements, including SAR drafting, filing, and governance. • Experience managing and developing a team of analysts or investigators. • Experience with transaction monitoring and surveillance systems, including alert tuning, scenario design, and model calibration. • Strong analytical skills and comfort working with data; ability to translate regulatory requirements into scalable operational controls. • Excellent judgment, written communication, and the ability to defend decisions to regulators, auditors, and senior management. Nice to Have • FINRA registrations (SIE, Series 7, and/or Series 24), or willingness to obtain. • Experience applying machine learning, AI, or advanced analytics to financial crime detection. • Experience as the AMLCO or Deputy AMLCO. • Exposure to investment advisory (RIA) or banking environments, including OCC or Federal Reserve regulatory frameworks. • Experience building or scaling financial crime programs in a high-growth environment. Salary range $150,000-170,000 Our Perks • Competitive Pay and Stock Options • Comprehensive health, dental, vision, disability, and life insurance • Retirement benefit with employer match • Unlimited PTO • Transparent and open communication with leadership