DUTIES AND RESPONSIBILITIES
The following duties are typical for this job position. Incumbents may be required to perform additional or different duties from those set forth below to address business needs and changing business practices.
- Develop, maintain, and execute the Firm's Broker-Dealer AML compliance program pursuant to FINRA, SEC and BSA/AML requirements
- Conduct daily, bi-monthly and monthly FinCEN monitoring and OFAC screening
- Assist compliance team with trade surveillance efforts, tracking and follow-up of escalated matters; working knowledge of CAT Reporting is a plus
- Assist in responding to regulatory, internal and external inquiries from the SEC, FINRA and FinCEN
- Assist with client onboarding processing; understanding of securities laws related to records retention a plus
- Participate in various data protection, privacy and information security initiatives
QUALIFICATIONS
- Five (5) to seven (7) years of relevant experience with BSA/AML regulations within the financial services industry
- Prior exposure to securities clearing firm operations and foreign correspondent relationships strongly preferred
- Strong knowledge of KYC, CDD, EDD, CIP requirements and Global Sanctions
- Independent self-starter with a positive, can-do attitude; ability to engage proactively.
- Highly organized with strong interpersonal skills and ability to communicate effectively both verbally and in writing
- Experience with data and trend analysis related to the oversight of an AML and surveillance program
- Working knowledge of MS Office
- A clean FINRA U4 and background is required for this position
License or Certification Requirements
- FINRA Series 24 required
- Certified Anti-Money Laundering Specialist, ACAMS or CFE strongly preferred.
Job is full-time. Salary is competitive, and health, dental and vision benefits are included. Life, long-term disability and 401(k) options are available.