AVP,Compliance Officer - AML​/KYC

A growing financial services organization with both broker-dealer and registered investment adviser operations seeks an AML/KYC Compliance AVP.

This role will own the day-to-day review and approval of investor AML and KYC files, with a concentration on private fund and alternative investment vehicles. This is a hands-on role with real ownership. You will be the decision-maker on investor files rather than one reviewer among many, and you will have direct exposure to business leaders as new products and initiatives come online.

• Own the review and approval of investor and client AML/KYC documentation, including periodic refreshes, ongoing monitoring and investor-facing correspondence
• Execute testing and oversight of third-party reliance arrangements
• Serve as the compliance point of contact for business teams launching new products and initiatives, providing practical guidance on AML/KYC implications
• Run sanctions, PEP and adverse media screening; investigate and disposition alerts
• Support regulatory examinations, internal audits and other reviews, including document preparation and responses
• Contribute to the build-out and refinement of program policies, procedures and workflows

• 5+ years of compliance experience in alternative investments; exposure to both broker-dealer and RIA environments strongly preferred
• Working knowledge of the Investment Advisers Act / Investment Company Act of 1940 and Securities Act of 1933 frameworks as they apply to private funds
• Command of AML and KYC requirements for private fund investors, including offshore structures and Cayman Islands AML obligations
• A self-starter who works well in a fast-moving environment and enjoys building processes.