Remote Anti-Money Laundering Compliance Officer
Guideline
π΅ $122k-$154k
πRemote - United States
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Job highlights
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 Firmβs 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 β We observe the NYSE Holiday Calendar
- 401(k) with matching contributions β 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 β We reimburse approved professional development expenses, up to $750 per employee per year
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