Compliance Officer & AML Manager
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
'14; Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts
'14; Perform FINRA Branch Office Inspections and prepare corresponding reports
'14; Manage the firm’s Continuing Education Program for Associated Persons
'14; Assist with developing and delivering internal compliance training
'14; Lead customer onboarding processes, including due diligence, account documentation review, and ongoing monitoring
'14; Support AML program activities including transaction monitoring, suspicious activity review, and documentation management
'14; Monitor communications through surveillance platforms (Actimize, Global Relay, Sycamore/Investedge)
'14; Participate in internal audits, regulatory exams, and ongoing compliance initiatives
'14; Review and document FinCEN notices and ensure appropriate follow-up
Qualifications
'14; 3–5 years of experience in a compliance role within a broker-dealer or financial services firm
'14; FINRA Series 7 required
'14; Strong understanding of FINRA/SEC rules and AML regulatory requirements
'14; Excellent analytical, documentation, and problem-solving skills
'14; Ability to work independently, manage competing priorities, and maintain a high level of confidentiality
'14; Strong communication skills and comfort interacting with regulators, auditors, and internal stakeholders
We are an Equal Opportunity Employer.
