Chief Compliance Officer

⚡ Chief Compliance Officer

💼 Trading Platform

🌎 New York / Jersey City

A leading trading platform empowering retail investors with cutting-edge tools, committed to building a trusted, compliant, and accessible financial ecosystem for the retail users. Committed to building a trusted and compliant financial ecosystem, the firm is recognized for its customer-first approach and strong regulatory standards.

About the Role

The Chief Compliance Officer will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. This individual will play a crucial role in ensuring compliance with regulatory requirements and safeguarding the integrity of the firm's financial services. The role is fully office-based in the New York metro area — remote work is not available for this position.

The Perfect Candidate

• Seasoned AML leader with experience in a regulated financial services environment
• Deep knowledge of BSA, FINRA, SEC, and state AML regulations
• Hands-on with AML systems and data, with a track record of building efficient, scalable programs

What You'll Do

• Regulatory Oversight: Oversee the firm's AML compliance program in accordance with the BSA, USA PATRIOT Act, and applicable federal and state regulations. Prepare for and respond to regulatory exams, audits, and inquiries.
• Program Leadership: Maintain and enhance AML WSPs, risk assessments, and internal controls. Monitor regulatory developments and ensure ongoing compliance across all applicable requirements.
• AML Governance: Act as subject-matter expert on CDD, EDD, transaction monitoring, sanctions screening, and SARs. Manage alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Technology & Data: Partner with Technology, Operations, and Data teams to implement and refine AML systems and controls. Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Training & Risk: Provide guidance and training to AML staff and stakeholders. Influence business decisions by providing clear, risk-based compliance guidance.
• Strategic Partnering: Build and maintain strong internal and external relationships, working alongside leadership to enable business growth while maintaining regulatory integrity.

What You Bring

• Significant AML experience within a regulated broker-dealer or financial services environment.
• Relevant FINRA licensing or willingness to obtain within a reasonable timeframe.
• In-depth knowledge of current federal and state AML regulations and rules.
• Strong background in AML data, systems, and reporting.
• Familiarity with leading AML monitoring platforms preferred.
• Excellent written and verbal communication skills with the ability to produce clear, concise reports.
• Knowledge of futures and event contracts is a plus.