Compliance- AML Manager

HW3; New York (NY); On-site; USD 180,000 - 280,000; Full time

Benefits offered by this job

Competitive compensation

Bonus eligibility

Comprehensive benefits

Professional development opportunities

Job summary

Hw3 Llc, a leading financial services organization in New York, seeks an experienced Director of AML Compliance to oversee and strengthen its AML program. The role focuses on regulatory adherence, strong governance, and collaboration with senior leadership to mitigate financial crime risks.

You will lead investigations, monitoring, and reporting while guiding regulatory examinations and remediation efforts, ensuring robust controls and data-driven improvements across the firm.

Qualifications

• Extensive AML/regulatory compliance experience.
• Experience leading regulatory examinations and remediation efforts.
• Strong leadership and stakeholder management skills.
• Ability to guide senior leadership on financial crime risks.

Responsibilities

• Oversee and enhance the AML compliance program in line with BSA/AML, FINRA, SEC, and related regulations.
• Lead AML investigations, transaction monitoring, SARs, and risk assessments.
• Maintain and upgrade compliance policies, procedures, controls and reporting processes.
• Manage regulatory examinations, audits, inquiries, and remediation initiatives.
• Collaborate with stakeholders to improve AML systems and data processes.
• Provide strategic guidance on financial crime risks to senior leadership.
• Lead AML team and foster a compliant culture across the organization.

Skills

Regulatory leadership

AML program management

Stakeholder engagement

Regulatory trend analysis

Tools

Regulatory reporting systems

Data analytics tools

Investigation platforms

Job description

A leading financial services organization is seeking an experienced Director of AML Compliance to oversee and enhance its AML compliance program.

This position offers the opportunity to lead regulatory compliance initiatives, strengthen financial crime controls, and collaborate with senior leadership to ensure adherence to evolving regulatory requirements.

Key Responsibilities

• Oversee and manage the firm's AML compliance program in accordance with BSA/AML, FINRA, SEC, and applicable regulatory requirements.
• Lead AML investigations, transaction monitoring, suspicious activity reporting, and risk assessments.
• Maintain and enhance compliance policies, procedures, internal controls, and regulatory reporting processes.
• Manage regulatory examinations, audits, inquiries, and remediation initiatives.
• Partner with internal stakeholders to improve AML systems, data processes, and operational efficiencies.
• Provide strategic guidance to senior leadership on financial crime risks and regulatory developments.
• Lead and support AML compliance personnel, promoting a strong culture of regulatory compliance.

Requirements

• Active FINRA Series 7 license required.
• FINRA Series 24 license required or ability to obtain following hire.
• Significant AML compliance experience within a FINRA-registered broker-dealer.
• Strong knowledge of BSA/AML, FINRA, SEC, and applicable financial services regulations.
• Experience managing AML programs, regulatory examinations, investigations, and remediation efforts.
• Familiarity with AML monitoring systems, data analytics, and regulatory reporting.
• Strong leadership, communication, and stakeholder management skills.
• Ability to work on-site four days per week.

Preferred Qualifications

• Experience within a clearing firm, brokerage, or other regulated financial services environment.
• Experience improving AML processes, systems, and compliance controls.

Competitive compensation package, including a base salary, performance-based bonus eligibility, comprehensive benefits, and professional development opportunities.