AML Director, Broker-Dealer & FCM Compliance
Overview
Lead Clear Street's AML program enhancements as a senior individual contributor, owning complex investigations, EDD reviews, and regulatory responses. Report to the AML Compliance Officer and partner with onboarding, technology, and operations teams to drive program improvements across a cloud-native brokerage platform. Your expertise in BSA/AML, KYC, and SAR reporting will shape compliance in a modern, diversified financial services firm. This role offers the chance to influence policy at scale while mentoring junior staff.
What You'll Do10
- 1Lead the implementation and continuous improvement of AML policies, procedures, and controls in response to regulatory changes and evolving typologies.
- 2Conduct and oversee periodic and event-driven KYC refresh reviews, ensuring documentation is accurate and compliant.
- 3Review and disposition complex ongoing monitoring alerts, including sanctions, PEP, and adverse media alerts, escalating for EDD or further investigation.
- 4Own and lead the execution of complex EDD reviews.
- 5Conduct SAR investigations and contribute to filing decisions, including drafting and reviewing SAR narratives.
- 6Partner with onboarding, technology, and operations teams to improve AML workflows.
- 7Advise business lines on AML-related questions and provide guidance on customer risk classification and program requirements.
- 8Coordinate AML audit requests and assist in preparing responses and supporting documentation.
- 9Monitor regulatory developments and emerging AML typologies, assessing their impact on the Firm's AML Program.
- 10Train and mentor junior AML staff.
Requirements8
- 1Bachelor's degree required; advanced degree or JD a plus.
- 27-10 years of AML compliance, AML audit, or financial crimes experience at a broker-dealer or other regulated financial institution.
- 3Strong knowledge of BSA/AML, KYC, CIP, CDD, EDD, OFAC, and FinCEN requirements as applied to broker-dealer and FCM businesses.
- 4Demonstrated knowledge of SAR investigations and reporting requirements.
- 5Experience with institutional client onboarding, including financial institutions, funds, and other complex legal entities.
- 6Proficiency with onboarding platforms and screening tools (e.g., World-Check, CLEAR, or equivalent).
- 7Exceptional analytical, organizational, and written and verbal communication skills.
- 8Ability to work independently on complex matters and manage multiple priorities in a fast-paced environment.
Salary Insight
$160 - $215k per year
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