Chief Compliance Officer

Overview

A prominent trading platform focused on empowering retail investors with advanced tools is seeking a Chief Compliance Officer based in the New York metropolitan area. The company emphasizes trust, compliance, and accessibility within the financial ecosystem, prioritizing a customer-centric approach and robust regulatory adherence.

Role and Responsibilities

• Lead the AML compliance team, overseeing enforcement and monitoring of anti-money laundering policies and procedures.
• Ensure the firm's AML program complies with the Bank Secrecy Act, USA PATRIOT Act, FINRA, SEC, and state-level AML regulations.
• Prepare for and respond to regulatory examinations, audits, and inquiries with thorough oversight.
• Develop, maintain, and enhance AML written supervisory procedures (WSPs), risk assessments, and internal controls, while staying abreast of evolving regulations.
• Serve as the subject-matter expert on customer due diligence (CDD), enhanced due diligence (EDD), transaction monitoring, sanctions screening, and suspicious activity reporting (SARs).
• Manage alert investigations and escalations, ensuring timely and accurate regulatory submissions.
• Collaborate with Technology, Operations, and Data teams to implement and optimize AML systems, data flows, reporting, and surveillance methodologies for improved efficiency and reduced manual intervention.
• Deliver AML training and guidance to staff and stakeholders, influencing business decisions with sound compliance risk analytics.
• Establish and maintain strategic internal and external relationships to support business growth while preserving regulatory integrity.

Candidate Profile

• Extensive AML leadership experience in regulated broker-dealers or financial services firms.
• Proficient knowledge of federal and state AML legislation including BSA, FINRA, SEC requirements.
• Hands-on experience with AML systems, data analytics, and reporting platforms; familiarity with leading AML monitoring tools is advantageous.
• Possession of relevant FINRA licenses or commitment to obtain them promptly.
• Exceptional communication abilities for producing clear and concise compliance documentation.
• Understanding of futures and event contracts considered a plus.

Additional Information

The role is strictly office-based within the New York metro area; remote work options are not available.