AML Financial Crimes Compliance

Ascendo Resources; Miami (FL); On-site; USD 140,000 - 190,000; Full time

Job summary

Ascendo Resources seeks an experienced AML/Financial Crime Compliance professional for a Broker-Dealer Securities business. The role is a senior AML SME, advising front office and partners on complex AML, KYC/CDD, EDD and sanctions matters.

Responsibilities include AML advisory across Broker-Dealer, Clearing and Wealth Management; reviewing high-risk relationships; supporting audits and regulatory exams; and helping to strengthen AML policies and training.

Qualifications

• 5+ years of second-line AML/Financial Crime Compliance experience.
• Strong experience in AML Advisory, EDD and/or AML Investigations.
• Direct Broker-Dealer AML experience required; clearing Broker-Dealer experience highly desirable.
• Strong knowledge of BSA/AML, OFAC/Sanctions, FinCEN and FINRA/SEC requirements, including FINRA Rule 3310.
• Experience advising on complex HNW/UHNW and higher-risk customer relationships.
• Excellent judgment, communication and stakeholder-management skills.

Responsibilities

• Provide AML advisory support across Broker-Dealer, Clearing and Wealth Management businesses.
• Advise front office and business teams on BSA/AML, CIP/KYC/CDD, EDD, OFAC/Sanctions and related regulatory requirements.
• Review and provide guidance on complex and high-risk customer relationships, including HNW/UHNW clients, beneficial ownership structures and foreign financial institutions.
• Serve as an escalation point for complex KYC, EDD, transaction monitoring and adverse media matters.
• Review customer risk and provide appropriate AML clearance and recommendations.
• Partner closely with onboarding, operations, treasury, compliance and other AML functions.
• Support independent AML audits and regulatory examinations, including preparation of requested documentation.
• Review and enhance AML policies, procedures and controls.
• Provide AML guidance and training to business and compliance stakeholders.
• Support initiatives designed to strengthen the overall AML Compliance Program.

Skills

AML Advisory

EDD Investigations

Broker-Dealer AML

BSA/AML Knowledge

OFAC / Sanctions

Stakeholder Management

Communication

Job description

We are seeking an experienced AML/Financial Crime Compliance professional for our client a Broker-Dealer Securities business.

This role will serve as a senior AML subject matter expert, providing day-to-day advisory support to the front office and key business partners across complex AML, KYC/CDD, EDD, sanctions, and financial crime matters.

Responsibilities

• Provide AML advisory support across Broker-Dealer, Clearing and Wealth Management businesses.
• Advise front office and business teams on BSA/AML, CIP/KYC/CDD, EDD, OFAC/Sanctions and related regulatory requirements.
• Review and provide guidance on complex and high-risk customer relationships, including HNW/UHNW clients, beneficial ownership structures and foreign financial institutions.
• Serve as an escalation point for complex KYC, EDD, transaction monitoring and adverse media matters.
• Review customer risk and provide appropriate AML clearance and recommendations.
• Partner closely with onboarding, operations, treasury, compliance and other AML functions.
• Support independent AML audits and regulatory examinations, including preparation of requested documentation.
• Review and enhance AML policies, procedures and controls.
• Provide AML guidance and training to business and compliance stakeholders.
• Support initiatives designed to strengthen the overall AML Compliance Program.

Qualifications

• 5+ years of second-line AML/Financial Crime Compliance experience.
• Strong experience in AML Advisory, EDD and/or AML Investigations.
• Direct Broker-Dealer AML experience required; clearing Broker-Dealer experience highly desirable.
• Strong knowledge of BSA/AML, OFAC/Sanctions, FinCEN and FINRA/SEC requirements, including FINRA Rule 3310.
• Experience advising on complex HNW/UHNW and higher-risk customer relationships.
• Strong knowledge of CIP/KYC/CDD, beneficial ownership and customer risk assessment.
• Excellent judgment, communication and stakeholder-management skills.