AML Manager

• Lead an AML program monitoring transactions and customer activities for money laundering and fraud
• File suspicious activity reports (SARs)
• Create policies, procedures, and workflow tools for AML monitoring, detection, reporting, and prevention
• Design and build monitoring scenarios and support model validation programs
• Act as AMLCO and monitor industry trends
• Ensure compliance with BSA/AML and securities laws, including FINRA, SEC, and FinCEN guidance
• Develop and maintain AML, SARs, and KYC policies and procedures
• Prepare Senior Management reporting
• Support risk assessments and regular testing of policies and controls
• Collaborate with legal, compliance, and corporate functions on compliance technologies, controls, and processes
• Engage with firmwide compliance issues, senior legal and compliance professionals, and regulators
• Assist with responses to new rules, AML training, and other initiatives

• Minimum 5 years at a financial services firm or regulator
• Series 7 required
• Series 24 and Series 57 are a plus
• Ability to multitask in a highly demanding environment and reprioritize assignments
• Strong interpersonal and collaborative skills
• Ability to foster partnership-focused relationships across departments, particularly with technology and legal professionals
• Excellent verbal, writing, and presentation skills
• Ability to interact with internal stakeholders at all levels and regulators
• Ability to explain complex technical concepts to non-technical audiences
• Strong attention to detail
• High ethical standards and respect for confidentiality and privacy

Demonstrates expertise in Anti-Money Laundering (AML) program management, including transaction monitoring, suspicious activity reporting, and compliance with BSA/AML regulations. Proficient in developing policies and procedures, conducting risk assessments, and collaborating with legal and compliance teams.

• AML Program Management
• Suspicious Activity Reporting (SARs)
• BSA/AML Compliance
• Series 7 Certification
• KYC Policies Development

• Transaction Monitoring
• Policy Development
• Risk Assessment
• Model Validation
• Compliance Reporting

• Interpersonal Skills
• Collaborative Skills
• Attention to Detail
• Presentation Skills
• Communication Skills

• Series 7
• Series 24
• Series 57

• AML
• BSA
• FINRA
• SEC
• FinCEN
• KYC
• Financial Services
• Fraud Detection
• Regulatory Compliance
• Suspicious Activity

• Compliance Technologies
• Workflow Tools
• Monitoring Scenarios