Vice President, AML Compliance

Vice President, AML Compliance

About the Company

Forward-thinking digital investment platform

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Vice President of AML Compliance to lead its anti-money laundering program and team. The successful candidate will be a key figure in ensuring the firm's compliance with U.S. regulatory requirements, including those set by FINRA, the SEC, and state laws. This role involves close collaboration with various internal teams and serves as a primary contact for regulators and auditors. Key responsibilities include being the subject matter expert on AML topics, managing AML alerts and investigations, maintaining AML policies and procedures, and providing risk-based compliance guidance to business leaders. The VP will also be involved in training and mentoring AML staff and relevant stakeholders.

Applicants for the Vice President of AML Compliance position at the company should have a background that includes experience working at a FINRA-registered broker-dealer, a FINRA Series 7 license, and a Series 24 license (or the ability to obtain one within 4 months). Significant hands-on AML compliance experience and a strong knowledge of SEC, FINRA, state, and related AML regulations are essential. The role requires experience with AML systems, data, and reporting, and excellent communication skills. While not mandatory, experience with Actimize or similar AML platforms and knowledge of futures or event contracts are preferred. The company is an equal-opportunity employer and values a diverse workforce.

Travel Percent
Less than 10%

Functions

Finance