Head of AML – Broker Dealer
: Job Details :

A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and investment banking. The role reports directly to the Chief Compliance Officer with at least one direct report assisting with the daily execution of the program. An ideal background will understand all aspects of AML/Financial Crimes in the context of a broker dealer. In addition, experience managing a program or having direct reports will be expected.

Requirements:

• 8+ years of Broker Dealer Compliance experience
• Strong knowledge of AML/Financial Crimes and experience executing a compliance program
• Management experience preferred
• CAMS, Series 7, Series 24 Preferred

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