Senior AML Compliance Lead - Securities & Brokerage

Aegon; United States; Hybrid; USD 95,000 - 105,000; Full time

Job summary

Aegon in the United States seeks a senior AML Compliance leader to drive complex AML activities across broker-dealer, registered investment adviser, and affiliated insurance operations. You will guide regulatory interpretations, oversee investigations, and shape risk-based enhancements with broad cross-functional impact.

This role requires 7+ years in regulatory compliance and AML, strong leadership, and the ability to influence stakeholders.

Qualifications

• 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing or monitoring.
• 4+ years supporting AML, financial crime, broker-dealer, registered investment advisor, insurance, retirement, or investment compliance functions.
• FINRA Series 7 and 24 or 6 and 26 (or obtainable within 6 months).
• Extensive knowledge of AML laws, regulations, guidance, transaction monitoring, suspicious activity escalation and controls.
• Experience leading complex compliance reviews, regulatory responses, remediation, or cross-functional initiatives.
• Experience leading AML supervisory controls, testing, monitoring, or remediation actions.
• Advanced communication and influencing skills to advise stakeholders and support decision-making.
• Ability to work with significant independence and sound judgment on complex work.
• Proficiency with Microsoft Office and compliance, workflow, surveillance, or document management systems.

Responsibilities

• Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations.
• Evaluate processes, policies, transactions, disclosures, or activities to identify risks, trends, and control gaps.
• Guide interpretation of laws and regulations; advise stakeholders on practical application.
• Lead AML reviews: transaction monitoring, investigations, escalations, and trend assessment.
• Coordinate responses to regulatory examinations, inquiries, audits, or information requests.
• Evaluate findings, root causes, and corrective action plans for sustainable improvements.
• Serve as an AML SME to business partners and management on risks and requirements.
• Influence remediation strategy, policy updates, and training to strengthen compliance.

Skills

Compliance leadership

Communication

Risk management

Independent judgment

Education

Bachelor’s degree in business or law

Tools

Microsoft Office

Job description

Aegon in the United States seeks a senior AML Compliance leader to drive complex AML activities across broker-dealer, registered investment adviser, and affiliated insurance operations. You will guide regulatory interpretations, oversee investigations, and shape risk-based enhancements with broad cross-functional impact.

This role requires 7+ years in regulatory compliance and AML, strong leadership, and the ability to influence stakeholders.