Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid), New York, New York, us, 10261
AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED
AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED
Get AI-powered advice on this job and more exclusive features. Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) provided pay range
This range is provided by Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid). Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$100,000.00/yr - $130,000.00/yr Direct message the job poster from Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Chartered Accountant & MD at Compliance Recruitment Solutions (Ethical, Expert & Professional Recruitment by all former Compliance Officers)
AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED $100K -$130K+ BONUS & BENS NYC Ref:4139D Our client, a leading broker dealer, is seeking an Anti-Money Laundering Compliance Officer to be responsible for overseeing and managing the Firm’s AML, BSA, and OFAC compliance programs. Duties will include; Coordinate with external vendors for the internal annual AML audit, providing relevant documentation from all business lines to facilitate the audit process. Assist the Chief Compliance Officer in responding to inquiry letters and preparing Suspicious Activity Reports (SARs) as needed. Conduct research and provide guidance on new business or account requests with the New Accounts team to ensure compliance with regulatory standards and internal policies. Manage the Bi-Weekly Financial Crimes Enforcement Network (FinCEN) file download and distribution process to the New Accounts Team Manage a Periodic Know Your Customer Review Program, including best execution procedures to enhance customer due diligence processes. Review Risk Ratings for new customers and assign internal AML Risk Ratings based on established criteria and guidelines. Develop, implement, and maintain the company's AML policies and procedures tailored to our specific business risks in the high-frequency trading environment Supervise the monitoring of clients' transactions for compliance with AML regulations, with particular focus on the unique risks of low-priced securities and direct market access Ensure full compliance with SEC's Market Access Rule (15c3-5), which requires risk management controls and supervisory procedures Conduct comprehensive risk assessments of the firm's AML program, including customer, product, and geographic risks Ensure timely and accurate filing of Suspicious Activity Reports (SARs) with appropriate details and narratives Design and implement transaction monitoring system specific to broker-dealer operations You should have at least 6 years experience in a similar broad AML with another broker dealer with in-depth knowledge of AML regulations and best practices. Please note the role is hybrid ie 3days pw in their Midtown office So, if that sounds like you, then please send your details to our MD, David Symes FCA at david@compliancerecruitment.com ( including contact no ) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission). Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Accounting/Auditing, Legal, and Finance Industries Financial Services and Investment Management Referrals increase your chances of interviewing at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) by 2x Get notified about new Anti-Money Laundering Officer jobs in
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AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED
Get AI-powered advice on this job and more exclusive features. Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) provided pay range
This range is provided by Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid). Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$100,000.00/yr - $130,000.00/yr Direct message the job poster from Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Chartered Accountant & MD at Compliance Recruitment Solutions (Ethical, Expert & Professional Recruitment by all former Compliance Officers)
AML COMPLIANCE OFFICER – 6 YEARS AML EXPERIENCE WITH A BROKER DEALER REQUIRED $100K -$130K+ BONUS & BENS NYC Ref:4139D Our client, a leading broker dealer, is seeking an Anti-Money Laundering Compliance Officer to be responsible for overseeing and managing the Firm’s AML, BSA, and OFAC compliance programs. Duties will include; Coordinate with external vendors for the internal annual AML audit, providing relevant documentation from all business lines to facilitate the audit process. Assist the Chief Compliance Officer in responding to inquiry letters and preparing Suspicious Activity Reports (SARs) as needed. Conduct research and provide guidance on new business or account requests with the New Accounts team to ensure compliance with regulatory standards and internal policies. Manage the Bi-Weekly Financial Crimes Enforcement Network (FinCEN) file download and distribution process to the New Accounts Team Manage a Periodic Know Your Customer Review Program, including best execution procedures to enhance customer due diligence processes. Review Risk Ratings for new customers and assign internal AML Risk Ratings based on established criteria and guidelines. Develop, implement, and maintain the company's AML policies and procedures tailored to our specific business risks in the high-frequency trading environment Supervise the monitoring of clients' transactions for compliance with AML regulations, with particular focus on the unique risks of low-priced securities and direct market access Ensure full compliance with SEC's Market Access Rule (15c3-5), which requires risk management controls and supervisory procedures Conduct comprehensive risk assessments of the firm's AML program, including customer, product, and geographic risks Ensure timely and accurate filing of Suspicious Activity Reports (SARs) with appropriate details and narratives Design and implement transaction monitoring system specific to broker-dealer operations You should have at least 6 years experience in a similar broad AML with another broker dealer with in-depth knowledge of AML regulations and best practices. Please note the role is hybrid ie 3days pw in their Midtown office So, if that sounds like you, then please send your details to our MD, David Symes FCA at david@compliancerecruitment.com ( including contact no ) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission). Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Accounting/Auditing, Legal, and Finance Industries Financial Services and Investment Management Referrals increase your chances of interviewing at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) by 2x Get notified about new Anti-Money Laundering Officer jobs in
New York City Metropolitan Area . Compliance Officer - Compliance Risk Assessment - VP
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New York City Metropolitan Area $120,000.00-$150,000.00 1 week ago New York, NY $250,000.00-$350,000.00 5 days ago New York City Metropolitan Area $100,000.00-$150,000.00 1 week ago Senior Manager, Risk Strategy (KYC and Account Management)
New York, NY $180,000.00-$250,000.00 3 days ago Investments Compliance Officer – Portfolio Monitoring
Jersey City, NJ $94,800.00-$125,000.00 7 minutes ago Treasury Middle Office - Compliance & Risk Management AVP
New York, NY $65,000.00-$150,000.00 2 months ago Executive Director, Swap Dealer Compliance Officer
New York City Metropolitan Area $150,000.00-$175,000.00 6 days ago Legal and Compliance Department-Data Analytics AVP
New York, NY $65,000.00-$150,000.00 2 months ago Vice President, Marketing Material Compliance Officer
Greenwich, CT $150,000.00-$175,000.00 3 weeks ago New York City Metropolitan Area $150,000.00-$190,000.00 3 weeks ago New York City Metropolitan Area $150,000.00-$200,000.00 6 days ago Financial Crimes Compliance Risk Assessment Officer
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New York City Metropolitan Area $125,000.00-$140,000.00 1 week ago New York City Metropolitan Area 3 weeks ago VP, AML Financial Crimes Deputy Compliance Officer
Jersey City, NJ $150,000.00-$190,000.00 2 weeks ago New York City Metropolitan Area $130,000.00-$165,000.00 2 weeks ago AML, ABC and Sanctions Compliance Officer
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New York City Metropolitan Area $120,000.00-$150,000.00 3 days ago New York City Metropolitan Area 6 days ago New York City Metropolitan Area $125,000.00-$150,000.00 2 weeks ago New York, NY $175,000.00-$250,000.00 1 week ago New York City Metropolitan Area $150,000.00-$200,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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