AVP,Compliance Officer - AML/KYC

Howard-Sloan Search; New York (NY); On-site; USD 140,000 - 190,000; Full time

Job summary

Howard-Sloan Search is seeking an AML/KYC Compliance AVP for its NYC-based financial services operations. This role owns day-to-day investor AML/KYC reviews with direct ownership and exposure to business leaders as new products launch.

The role centers on private funds and alternative investments, including ongoing monitoring, sanctions screening, and investor correspondence. You will be the decision-maker on investor files in a fast-moving environment.

Qualifications

• 5+ years of compliance experience in alternative investments.
• Exposure to broker-dealer and RIA environments strongly preferred.
• Knowledge of the Investment Advisers Act / Investment Company Act of 1940 as they apply to private funds.
• Experience with AML/KYC for private funds, offshore structures, and Cayman Islands obligations.

Responsibilities

• Own the review and approval of investor AML/KYC documentation, including periodic refreshes and ongoing monitoring.
• Execute testing and oversight of third-party reliance arrangements.
• Serve as the compliance point of contact for new product launches and initiatives.
• Run sanctions, PEP and adverse media screening; investigate alerts and dispositions.
• Support regulatory examinations and internal audits, including document prep and responses.
• Contribute to the development and refinement of program policies, procedures, and workflows.

Skills

AML/KYC

Alternative Investments

Broker-Dealer & RIA exposure

Regulatory knowledge

Job description

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

[NYC]

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.

What You'll Do

• 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

What You'll Bring

• 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.