AML Compliance Manager - Vice President

What you do

As the VP/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight.

The ideal candidate would have a background working for a registered broker dealer and fintech/crypto experience.

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
• Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls;
  Actimize experience is a strong plus.
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Maintain AML WSPs, risk assessments, and internal controls.
• Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.
• Prepare for and respond to regulatory exams, audits, and inquiries.
• Influence business decisions by providing risk-based compliance guidance.
• Build and maintain strong internal and external relationships.
• Provide guidance and training to AML staff and stakeholders.

• Required Series 24 (or ability to obtain within 4 months of hire).
• Significant AML experience within a FINRA-registered broker-dealer.
• In-depth knowledge of current FINRA, SEC, state, and related regulations and rules.
• Strong background in AML data, systems, and reporting.
• Familiarity with Actimize or similar platforms preferred.
• Excellent written and verbal communication skills, with the ability to produce clear, concise reports.
• Knowledge of futures and event contracts is a plus.

• Comprehensive Paid Medical Benefits:
  We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution:
  We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays:
  Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development:
  Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses:
  Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success