Anti Money Laundering Compliance Officer (AMLCO)
Reporting to the Chief Compliance Officer, the AMLCO will be responsible for leading the firm’s AML program including managing the firm’s fraud investigation activities, training, development of and enhancement to AML related Written Supervisory Procedures, regulatory exams and due diligence related to AML Fraud related activities.
Key Skills Responsibilities:
- Overall responsibility for the firm’s AML Program. The AMLCO will ensure that the firm has AML Compliance procedures which are reasonably designed to achieve and monitor the firm’s compliance with regulatory requirements including requirements of the Bank Secrecy Act and CIP.
- Function as primary point of contact for all regulatory interactions related to AML, Trade Surveillance, OFAC, FINCEN.
- Prepare detailed reports by collecting, analyzing, and summarizing information.
- Maintain rapport with regulatory personnel by providing accurate and timely responses to regulatory inquires.
- Provide quality service by establishing and enforcing organization standards.
- Be an active participant in the firm’s initiatives to identify and remediate risk.
Job Requirements:
- Bachelor’s degree in Business or related field
- 2 plus years’ experience in the securities industry or client services
- Series 99 license
- Ability to work under pressure and to prioritize and carry out several tasks simultaneously
- Self-starter who demonstrates initiative and organization
- Exceptional follow through and problem solving skills
- Displays a relentless focus on customer service and customer satisfaction
- Holds themself accountable for high personal and professional standards
- Ability to work in a team environment or independently with minimal supervision
- Computer proficiency in Word, Excel and Outlook.
- Series 7 license preferred
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