Remote Anti-Money Laundering Compliance Officer

Summary

Join our Legal & Compliance team as an Anti-Money Laundering (AML) Compliance Officer to ensure the firm's compliance with regulatory requirements and consult with partners on projects in a startup environment.

Requirements

• Bachelor's degree
• Minimum of 10 years of relevant experience with demonstrated subject matter expertise
• Demonstrated knowledge and understanding of SEC, FINRA and BSA regulations
• CAMS certification

Responsibilities

• Apply knowledge of regulatory compliance requirements, including but not limited to SEC, FINRA, and BSA to investment advisory, broker-dealer, banking services, and more
• Monitor transactions and customer activities for signs of money laundering, fraudulent activity, and file suspicious activity reports (SARs) with authorities
• Monitor industry trends and ensure compliance with all relevant securities laws, financial regulations, and industry standards as it relates to AML and Know Your Client (KYC) practices
• Analyze and interpret complex regulatory requirements and communicate complex information effectively
• Provide and assist with education and training provided to the organization and staff
• Work cross functionally with external stakeholders throughout the organization related to AML, SARs, and KYC programs
• Develop and maintain policies and procedures regarding the Firm’s AML, SARs, and KYC programs
• Assist the Firm in building systematic reporting, monitoring and processes related to its AML, SARs, and KYC processes
• Supervise the AML team within the Legal and Compliance department
• Provide senior management with reports on risk and controls and include corrective action/remediation plans by providing testing data, observations, and identification of findings

Benefits

• Flexible time off in addition to company holidays — We observe the NYSE Holiday Calendar
• 401(k) with matching contributions — We use our own platform and match 100% of the first 3% contributed, and 50% of the next 2% (for a max employer contribution of 4%)
• 100% employer-paid healthcare, vision, and dental insurance for employees and 70% coverage for dependents
• Opt-out credit if all three plans are waived
• Eligibility to participate in Health Savings Account and Flexible Spending Accounts
• Disability and life insurance options
• Mental health benefits, including therapy and coaching through Modern Health, for employees and their dependents
• Paid parental leave for birthing and non-birthing parents
• 1-month Sabbatical after 5 years of employment
• Annual learning and development stipend — We reimburse approved professional development expenses, up to $750 per employee per year