Director, Financial Crimes Compliance & Regulatory Operations
A growing organization in the financial services industry is seeking a Director of Financial Crimes Compliance & Regulatory Operations to provide leadership and strategic oversight of its AML/KYC and regulatory operations functions. Reporting to the Chief Compliance Officer, this role requires deep expertise in AML/KYC, strong people leadership, and the ability to translate regulatory requirements into scalable programs, processes, and operating strategies.
The Director will be responsible for the ongoing effectiveness and development of the AML/KYC program and related regulatory operations, while building and developing a strong compliance team to support continued business growth. This leader will combine hands-on subject matter expertise with sound judgment, strategic thinking, and the ability to navigate increasingly complex regulatory and operational demands.
Key Responsibilities:
AML/KYC & Regulatory OperationsLead the organization’s AML/KYC program and regulatory operations functions.
Ensure programs, controls, and procedures meet applicable regulatory requirements and evolve alongside business needs.
Oversee customer due diligence, enhanced due diligence, sanctions screening, transaction monitoring, and investigations.
Identify opportunities to strengthen controls, improve processes, and increase operational scalability.
Team Leadership & DevelopmentBuild, lead, and develop a high-performing team of managers, supervisors, and analysts.
Establish clear roles, expectations, and accountability across the function.
Coach and develop team leaders and individual contributors while addressing capability and resource needs.
Support succession planning and the long-term development of the team.
Regulatory & Risk OversightLead regulatory examinations, audits, remediation efforts, and related responses within areas of responsibility.
Advise the Chief Compliance Officer on AML/KYC risks, regulatory developments, and emerging issues.
Establish effective escalation, reporting, and governance practices.
Ensure policies, documentation, and controls remain current and audit-ready.
Cross-Functional PartnershipPartner with Operations, Legal, Risk, Technology, and Internal Audit on compliance matters.
Provide AML/KYC guidance for systems, distribution relationships, and strategic business initiatives.
Balance regulatory requirements with practical business and operational considerations.
Qualifications:
Bachelor’s degree required; advanced degree or relevant professional certification preferred.
10+ years of progressive compliance experience within insurance, annuities, financial services, or another highly regulated industry.
Significant AML/KYC experience and a strong understanding of related regulatory requirements, frameworks, and controls.
5+ years of leadership experience, including responsibility for developing managers and leading teams.
Demonstrated experience strengthening, enhancing, or scaling AML/KYC programs, processes, and controls.
Experience managing regulatory examinations, audits, and remediation initiatives.
Strong judgment and strategic thinking, with the ability to communicate complex risks to senior leadership.
Excellent communication, stakeholder management, and cross-functional leadership skills.
