Senior AML Compliance Officer - FinTech Brokerage

Market Access Staffing; New York (NY); On-site; USD 160,000 - 230,000; Full time

Job summary

Market Access Staffing is seeking an experienced AML Compliance Officer for a New York City–based FINRA-member broker-dealer FinTech firm. The role oversees the AML program, staff, and regulatory reporting, ensuring effective controls and documentation.

The candidate should have deep knowledge of BSA, USA PATRIOT Act, FinCEN rules, and FINRA 3310, with leadership experience in AML surveillance, customer due diligence, and SAR filings.

Qualifications

• Minimum of five (5) years of professional experience at a FINRA-member broker-dealer.
• Strong knowledge of Bank Secrecy Act, USA PATRIOT Act, FinCEN regulations, and FINRA Rule 3310.
• Demonstrated understanding of AML compliance programs, monitoring, regulatory reporting, and investigations.
• Experience supervising AML staff and coordinating surveillance and investigations.

Responsibilities

• Oversee AML compliance program in line with BSA, USA PATRIOT Act, FinCEN, FINRA 3310.
• Develop, implement, update AML policies and internal controls.
• Supervise AML staff responsible for monitoring and onboarding activities.
• Provide regulatory reporting and risk assessments to senior management.
• Coordinate AML testing and remediation of deficiencies.

Skills

AML compliance

Staff supervision

Regulatory reporting

Regulatory knowledge

Investigations

Tools

AML monitoring systems

SAR process

Job description

Market Access Staffing is seeking an experienced AML Compliance Officer for a New York City–based FINRA-member broker-dealer FinTech firm. The role oversees the AML program, staff, and regulatory reporting, ensuring effective controls and documentation.

The candidate should have deep knowledge of BSA, USA PATRIOT Act, FinCEN rules, and FINRA 3310, with leadership experience in AML surveillance, customer due diligence, and SAR filings.