What are the responsibilities and job description for the Director of AML Compliance position at HW3?
Director, AML Compliance
Location: Jersey City, NJ or Dallas, TX
Schedule: On-site Monday through Thursday
Type: Full-time
A leading financial services organization is seeking a Director of AML Compliance to oversee its broker-dealer AML program.
Key Responsibilities
Lead the firm’s AML compliance program, oversee regulatory examinations and investigations, maintain policies and controls, manage remediation and filings, and advise senior leadership on financial crime risk.
Requirements
- Active FINRA Series 7 and Series 24 licenses.
- Strong AML experience within a FINRA-registered broker-dealer.
- Direct experience working with FINRA, the SEC, and regulatory examinations.
- Strong knowledge of BSA/AML, the USA PATRIOT Act, FINRA rules, SEC regulations, and broker-dealer compliance.
- Leadership experience across AML programs, investigations, governance, and remediation.
- Ability to work on-site four days per week in Jersey City or Dallas.
Experience within a clearing firm, wealth management organization, securities firm, or online trading platform is strongly preferred. Actimize experience is a plus.