Overview:
In this role you will provide senior AML subject-matter oversight across U.S. and international businesses, partnering with Legal, Compliance, Risk, and operations to assess regulatory requirements and strengthen the AML control environment. You will translate evolving BSA, FinCEN, OFAC, SEC, and FINRA expectations into practical governance improvements and risk mitigation. You will lead enterprise AML/CFT risk assessments, monitor controls, and support regulatory readiness and examinations. This is a chance to shape the firm’s compliance posture in a dynamic financial services setting. Compensation / Benefits base salary $155,000–$180,000 equity for all full-time employees annual performance bonus comprehensive benefits package employer-matched retirement plan healthcare subsidies (dental, vision, telemedicine) with 100% employer-paid coverage for these benefits? (as stated) - parental leave, unlimited PTO
Responsibilities:
Oversee and enhance the firm’s U.S. AML/CFT framework, including policies, procedures, and governance Monitor regulatory developments and translate into practical AML controls Provide SME guidance to Compliance, Legal, Risk, Operations, Product, Technology, and business units Assess products, services, and relationships for AML/CFT and sanctions implications and propose mitigations Lead AML/CFT risk assessments, identify gaps, and establish oversight metrics Oversee higher-risk customer/investor/intermediary relationships and escalation processes Advise on enhanced due diligence, risk mitigation, and SAR governance investigations Support senior-management reporting on AML risk and program effectiveness Coordinate AML-related regulatory examinations, audits, and information requests Oversee third parties performing AML/KYC activities and ensure appropriate controls and remediation Support AML/CFT training and guidance to promote consistent standards across U.S. businesses
Key requirements:
10+ years in AML, BSA, financial crimes, regulatory compliance, or related risk roles Bachelor’s degree required; JD or advanced degree is a plus Experience in broker-dealer, investment adviser, asset manager, private funds, bank, or comparable regulated entity Strong knowledge of BSA, USA PATRIOT Act, FinCEN, OFAC, FINRA AML, and SEC requirements Experience assessing complex entities and structured investments for AML/Sanctions risk (preferred) Ability to translate regulatory requirements into practical controls and governance Strong written and verbal communication for senior management Proven ability to challenge processes and drive remediation CAMS certification strongly preferred Strong written and verbal communication Collaborative with cross-functional teams Analytical and risk-focused mindset AML/CFT regulatory knowledge BSA and FinCEN guidance OFAC and sanctions screening
