Anti-Money Laundering Officer We are seeking an experienced Anti-Money Laundering (AML) Officer to support and oversee key components of the firm's AML and financial crimes compliance program. This individual will work across the broker-dealer and investment advisory businesses, supporting compliance activities related to customers, financial professionals/advisors, account activity, and regulatory requirements. The ideal candidate will have hands-on AML experience within a broker-dealer, RIA, wealth management firm, or similar financial services organization and be comfortable balancing day-to-day investigative work with broader program oversight.
Responsibilities:
Oversee and support the firm's day-to-day AML compliance program across its broker-dealer and advisory businesses.
Conduct Customer Identification Program (CIP) and Know Your Customer (KYC) reviews for customers and financial professionals/advisors.
Perform identity verification, including validating Social Security numbers and other identifying information through third-party databases and compliance systems.
Review AML and transaction-monitoring alerts, investigate potentially suspicious activity, and document findings and dispositions.
Conduct enhanced due diligence when required and escalate higher-risk relationships or activity.
Assist with the preparation, review, and filing of Suspicious Activity Reports (SARs), as appropriate.
Support ongoing customer and advisor due diligence, including periodic reviews and updates to account information.
Review activity for potential money laundering, fraud, sanctions, or other financial crime concerns.
Support OFAC and sanctions-screening processes and investigate potential matches.
Maintain clear and thorough documentation of investigations, reviews, and compliance decisions.
Assist with AML policies, procedures, risk assessments, testing, regulatory examinations, and internal audits.
Partner with Compliance, Operations, and other internal teams to identify and resolve AML-related issues.
Stay current on FINRA, SEC, FinCEN, and other applicable AML and financial crime regulatory requirements.
Qualifications:
5+ years of AML, BSA, KYC/CIP, financial crimes, or related compliance experience.
Experience within a broker-dealer, RIA, wealth management firm, clearing firm, or similar regulated financial institution strongly preferred.
Strong understanding of AML regulations, CIP/KYC requirements, suspicious activity monitoring, SARs, and OFAC.Experience reviewing and resolving AML or transaction-monitoring alerts.
Ability to conduct detailed investigations and clearly document conclusions.
Strong written communication skills with the ability to draft procedures, investigative narratives, and regulatory documentation.
Comfortable working independently in a hands-on compliance environment while collaborating across multiple business functions.
FINRA licenses and/or CAMS certification are a plus but not required.
This is an excellent opportunity for an AML professional looking to take meaningful ownership of a compliance function within a growing financial services organization and gain exposure across both broker-dealer and investment advisory operations.
