Vice President, AML Compliance

HWThree is partnered with a broker-dealers and a digital investment platform, looking to hire a VP of AML Compliance to their Retail Business. 

About the Role

The Vice President of AML Compliance place a key role in leading the firm’s anti-money laundering program and team. This role is responsible for ensuring compliance with U.S. regulatory requirements (including FINRA, SEC and State laws). You will work closely with Compliance, Technology, Operations, and senior leadership, and serve as a key point of contact for regulators and auditors.

Key Responsibilities

• Serve as the subject matter expert for AML topics including customer due diligence, enhanced due diligence, transaction monitoring, sanctions screening, and SAR filings

• Manage AML alerts, investigations, escalations, and regulatory filings

• Maintain AML policies, procedures, risk assessments, and internal controls

• Partner with Technology and Operations teams to improve AML systems, automation, data flows, and reporting

• Monitor regulatory changes and ensure ongoing compliance, prepare for and respond to regulatory exams, audits, and inquiries

• Provide risk-based compliance guidance to business leaders

• Train and mentor AML staff and relevant stakeholders

Qualifications

• Experience working at a FINRA-registered broker-dealer

• FINRA Series 7 license, Series 24 license (or ability to obtain within 4 months)

• Significant hands-on AML compliance experience

• Strong knowledge of SEC, FINRA, state, and related AML regulations

• Experience with AML systems, data, and reporting

• Excellent written and verbal communication skills

Preferred:

• Experience with Actimize or similar AML platforms

• Knowledge of futures or event contracts

Additional Information

This description outlines the general nature of the role and is not an exhaustive list of responsibilities. The company is an equal opportunity employer and evaluates candidates without regard to legally protected characteristics.