Chief AML & Sanctions Compliance Leader

Madison-Davis, LLC; New York (NY); Presencial; USD 210.000 - 320.000; Jornada completa

Descripción de la vacante

Madison-Davis, LLC seeks an experienced Head of Anti-Money Laundering (AML) to lead its financial crimes program across securities trading and derivatives. The role oversees governance, sanctions, monitoring, and examinations, partnering with senior leaders to ensure robust controls.

The ideal candidate brings deep BSA/AML expertise, broker-dealer experience, and a track record in implementing enterprise AML programs, including CIP, CDD/EDD, and SAR/CTR processes within a regulated institution

Formación

• Significant experience in BSA/AML and sanctions compliance within a regulated financial institution.
• Strong broker-dealer AML compliance background with knowledge of futures/commodities/derivatives.
• Demonstrated experience managing or providing senior oversight of AML programs.
• Comprehensive understanding of BSA/AML, USA PATRIOT Act, OFAC, SEC, FINRA, CFTC, and NFA requirements.
• Hands-on knowledge of CIP, CDD/EDD, beneficial ownership, transaction monitoring, and SAR/CTR reporting.
• Experience managing regulatory examinations, AML risk assessments, and remediation initiatives.
• Strong leadership, analytical, regulatory interpretation, and communication skills.

Responsabilidades

• Serve as the firm's designated AML Compliance Officer and lead the AML and sanctions framework.
• Develop, implement, and enhance policies, procedures, and internal controls per BSA/AML regulatory requirements.
• Oversee customer identification, beneficial ownership verification, enhanced due diligence, and ongoing monitoring.
• Conduct enterprise-wide AML risk assessments and implement mitigation strategies.
• Provide strategic guidance to senior management on financial crimes risks and regulatory expectations.
• Oversee transaction monitoring systems, SAR/CTR filings, and investigations.
• Coordinate regulatory examinations, audits, and requests for information.
• Monitor regulatory developments and implement program enhancements.

Conocimientos

BSA/AML

Regulatory compliance

Broker-dealer AML

Leadership

Regulatory interpretation

Communication

Risk assessment

Descripción del empleo

Madison-Davis, LLC seeks an experienced Head of Anti-Money Laundering (AML) to lead its financial crimes program across securities trading and derivatives. The role oversees governance, sanctions, monitoring, and examinations, partnering with senior leaders to ensure robust controls.

The ideal candidate brings deep BSA/AML expertise, broker-dealer experience, and a track record in implementing enterprise AML programs, including CIP, CDD/EDD, and SAR/CTR processes within a regulated institution