AML Compliance Officer - Series

We are seeking a knowledgeable and detail-oriented Deputy AML Compliance Officer to join our AML Compliance team. This position plays a vital role in maintaining and enhancing our Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) compliance program. The ideal candidate will have hands-on experience with customer due diligence (CDD), transaction monitoring, and regulatory reporting, and will collaborate closely with the Chief AMLCO and broker-dealer (B/D) compliance leadership and cross-functional teams.

• Conduct CDD and enhanced due diligence (EDD) reviews for high-risk customer accounts.
• Investigate transaction monitoring alerts and escalate potential suspicious activity.
• Draft and file Suspicious Activity Reports (SARs) in accordance with FinCEN regulations.
• Perform sanctions screening, PEP checks, and adverse media reviews using tools such as Lexis Nexis Bridger and AML Insight.
• Assist in tuning and testing AML monitoring and sanctions screening systems.
• Support internal audits, regulatory exams, and inquiries from external stakeholders.
• Maintain accurate, well-organized case files in compliance with internal policies.
• Stay up to date on regulatory changes and support updates to policies and procedures.
• Participate in AML/CTF training initiatives and contribute to firm-wide compliance awareness.

• 5+ years of AML compliance experience, preferably within a financial institution, broker-dealer (BD), or registered investment adviser (RIA).
• Strong knowledge of U.S. AML/CTF regulations, including BSA, FinCEN, OFAC, and FATF standards.
• Familiarity with financial crime red flags, investigative techniques, and typologies.
• Excellent analytical, writing, and documentation skills.
• Experience with AML systems such as Actimize or Catalyst is a plus.
• Ability to manage multiple priorities effectively in a dynamic, fast-paced environment.

• CAMS Certification – Required (or willingness to obtain within 3 months of employment)
• FINRA Series 7 & 24 – Strongly preferred (or willingness to obtain at least one within 6 months of employment)
• Additional ACAMS certifications (e.g., CCGS, CTMA, CKYCA) are a plus
• Bilingual in Spanish or Chinese is an advantage