Director of AML & Regulatory Compliance

Futu Holdings Limited; Dallas (TX); On-site; USD 125,000 - 165,000; Full time

Benefits offered by this job

Comprehensive Paid Medical Benefits

401k Employer Contribution

Generous Paid Time Off & Paid Holidays

Opportunities for Professional Growth & Development

Performance-Based Bonuses

Job summary

A financial services company in Dallas is seeking a Director/AML Compliance to lead their anti-money laundering team. This role involves overseeing compliance with federal regulations, providing expert guidance, and managing AML investigations. Candidates must have significant broker-dealer experience, a FINRA Series 7 License, and exceptional communication skills. The position offers a salary range of $125,000 - $165,000 per year and includes comprehensive medical benefits and retirement contributions.

Qualifications

• Significant AML experience within a FINRA-registered broker-dealer.
• In-depth knowledge of FINRA, SEC, and state regulations.
• Ability to obtain Series 24 within 4 months of hire.

Responsibilities

• Oversee the firm's AML compliance program.
• Manage AML alerts and investigations.
• Prepare for regulatory exams and audits.

Skills

Broker-dealer experience

FINRA Series 7 License

AML experience

Strong background in AML data

Excellent communication skills

Tools

Actimize

Job description

A financial services company in Dallas is seeking a Director/AML Compliance to lead their anti-money laundering team. This role involves overseeing compliance with federal regulations, providing expert guidance, and managing AML investigations. Candidates must have significant broker-dealer experience, a FINRA Series 7 License, and exceptional communication skills. The position offers a salary range of $125,000 - $165,000 per year and includes comprehensive medical benefits and retirement contributions.