Vice President, AML Compliance

About the Company

Digitally-driven brokerage & wealth management platform

Industry
Financial Services

Type
Public Company

Employees
51-200

About the Role

The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and enforcing anti-money laundering policies and procedures. The successful candidate will be responsible for overseeing the firm's AML compliance program in accordance with the Bank Secrecy Act, USA PATRIOT Act, and relevant FINRA, SEC, and state regulations. This role requires a subject-matter expert with significant AML experience within a FINRA-registered broker-dealer, including CDD, EDD, transaction monitoring, sanctions screening, and SARs. The VP/AML Compliance will also be tasked with designing and optimizing AML data flows, reporting, and surveillance processes, as well as partnering...