VP, Financial Crimes Compliance Manager

Cantor Fitzgerald is a leading global financial services firm known for its commitment to excellence, innovation, and integrity. We are seeking a highly skilled professional with extensive expertise in BSA/Patriot Act compliance and financial crime prevention within a regulated broker-dealer environment.

This individual will be responsible for managing and maintaining the firm’s obligations related to the supervision, detection, and reporting of potential money laundering and financial crime activities
. The ideal candidate will bring significant experience in AML program management, surveillance analytics, and regulatory compliance
, along with the ability to drive operational excellence and collaborate effectively across Compliance, Risk, Legal, Operations, and Technology functions.

Head of U.S. Financial Crime Compliance

• Lead the execution and oversight of the firm’s AML compliance monitoring and assessment program
  , ensuring alignment with regulatory expectations.
• Develop, enhance, and maintain AML policies, procedures, and surveillance methodologies across all business lines and jurisdictions.
• Design and implement trade surveillance programs to detect and mitigate potential financial crime risks.
• Manage and optimize surveillance systems
  , including alert thresholds, exception reports, and escalation processes.
• Conduct and oversee investigations of suspicious activity
  , ensuring proper documentation, escalation, and reporting.
• Coordinate the preparation and filing of Suspicious Activity Reports (SARs) and ensure timely and accurate completion.
• Support the development of risk assessment frameworks to evaluate customer activity and firm exposure.
• Identify and remediate control gaps through collaboration with cross-functional teams, ensuring all incidents are properly logged and addressed.
• Assist in regulatory exam preparation
  , policy revisions, and implementation of new compliance requirements.
• Provide training and awareness programs to strengthen firmwide understanding of AML and financial crime risks.

• 7–10 years of experience in AML compliance and/or financial crimes within a broker-dealer or financial institution.
• CAMS certification required.
  Law degree a plus
• Strong working knowledge of the Bank Secrecy Act (BSA), USA PATRIOT Act, and other relevant AML laws and regulations
  .
• Proven experience in designing and implementing AML compliance programs and surveillance frameworks
  .
• Excellent analytical, investigative, and problem-solving skills
  .
• Strong communication and presentation abilities
  , both written and verbal.
• Self-motivated team player with the ability to work independently in a fast-paced environment
  .
• Exceptional organizational skills and attention to detail
  .

No Vendor resumes will be accepted at this time