AML Compliance Officer
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will develop and maintain AML policies, controls, and monitoring programs. You will investigate suspicious activity, lead customer due diligence and risk-rating efforts, oversee surveillance requirements, prepare regulatory reports, and work with internal stakeholders to maintain compliance with applicable regulations.
Requirements
- Bachelor's degree in finance, business administration, or a related field
- Extensive AML compliance experience within a broker-dealer firm
- Knowledge of KYC, CDD, EDD, sanctions, OFAC, AML laws, regulations, and industry best practices
- Knowledge of the Bank Secrecy Act, USA PATRIOT Act, CFTC, NFA, and FINRA AML rules
- Strong analytical and investigative skills
- Excellent written and verbal communication skills
- Series 3, Series 4, Series 7, Series 24, and Series 63 licenses
Responsibilities
- Develop, implement, and maintain AML policies, procedures, and controls
- Conduct AML and sanctions risk assessments
- Manage AML-related regulatory inquiries, examinations, and reporting obligations
- Investigate flagged transactions and activities
- Oversee customer cashiering activity surveillance, trade surveillance, and KYT requirements
- Improve AML monitoring systems, reporting, and analytics
- Lead CDD, EDD, and customer risk-rating efforts
- Maintain AML investigation and reporting records
- Prepare and oversee Suspicious Activity Reporting and 314(a) and 314(b) activities
- Collaborate with account operations, banking operations, fraud, legal, audit, engineering, and data analytics
Benefits
- Performance bonuses
- Stock purchase options
- Medical, vision, and dental benefits
- 401k plan
- 20 paid vacation days plus a birthday vacation day
- 10 paid sick days
- Gym membership reimbursement
- Commuter benefits
- Pet insurance
- Wellness and mental health programs
- Charitable donation matching
- Two paid volunteer days off
- Daily catered lunch when in the office
- Snacks and beverages
- In-building gym
- Shuttle to and from Metra
