Compliance Specialist, Finance & Banking

Job in New York, New York County, New York, 10261, USA

Listing for: ReKruiting Advisors LLC.

Full Time position
Listed on 2026-10-06

Job specializations:

Salary/Wage Range or Industry Benchmark: 90000 - 130000 USD Yearly USD 90000.00 130000.00 YEAR

Location: New York

Compliance Specialist
Key Responsibilities

Reviewandverificationofallnewcustomeraccountfiles.
UpdatecompanyAMLpoliciesandprocedures.
Overseetheprocessforreviewoftransactionsforsuitability,accuracy,andsuspiciousactivity.
Monitoringlegalandregulatoryrequirementsrelatedtothe Bank Secrecy Act ,Patriot Act,andOFACregulations,andguidancefromU.S.andforeignregulators.
AssistwithAMLReview/investigationsofaccountactivity.
Ensureregulatorycertificationsarefiledinatimelyfashion.
ProductionanddistributionoftheKYCDashboardtotrackrenewalprogressofon-boardedclients.
Overseeadministrationofemployeecontinuingexaminationrequirements,includingFINRACE,Firm Elementtraining,andother

Firm-required training.
Ongoingparticipationinresponseto Internal Audit requests .

Qualifications

3+ years of experience in reviewing customer information and performing AML or financial investigations; or equivalent securities industry experience.
In-depth knowledge of U.S. securities regulations, FINRA/SEC/NFA/CFTC rules, and general regulatory compliance matters.
Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.

We are seeking a motivated Compliance Specialist to join ReKruiting Advisors LLC. in New York, NY, United States.

Join us at ReKruiting Advisors LLC. as our next Compliance Specialist in New York, NY, United States.

We are currently recruiting a Compliance Specialist for our team in New York, NY, United States.