Compliance Officer & AML Manager

Job Description

Job Description

About the Role

We are seeking a highly skilled Compliance & AML Manager to support and enhance the firm’s regulatory, supervisory, and anti–money laundering programs. This individual contributor role is ideal for a detail-oriented, analytical professional with strong experience in FINRA compliance, regulatory reporting, documentation standards, and surveillance systems. The Compliance & AML Manager will report to the Compliance Manager and Chief Compliance Officer.

Key Responsibilities

✔ Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts
✔ Perform FINRA Branch Office Inspections and prepare corresponding reports
✔ Manage the firm’s Continuing Education Program for Associated Persons
✔ Assist with developing and delivering internal compliance training
✔ Lead customer onboarding processes, including due diligence, account documentation review, and ongoing monitoring
✔ Support AML program activities including transaction monitoring, suspicious activity review, and documentation management
✔ Monitor communications through surveillance platforms (Actimize, Global Relay, Sycamore/Investedge)
✔ Participate in internal audits, regulatory exams, and ongoing compliance initiatives
✔ Review and document FinCEN notices and ensure appropriate follow-up

Qualifications

✔ 3–5 years of experience in a compliance role within a broker-dealer or financial services firm
✔ FINRA Series 7 required
✔ Strong understanding of FINRA/SEC rules and AML regulatory requirements
✔ Excellent analytical, documentation, and problem-solving skills
✔ Ability to work independently, manage competing priorities, and maintain a high level of confidentiality
✔ Strong communication skills and comfort interacting with regulators, auditors, and internal stakeholders

We are an Equal Opportunity Employer.