What are the responsibilities and job description for the Deputy AML Officer - Broker Dealer (Clearing) position at Velox Clearing?
Deputy AML Officer - Broker Dealer (Clearing)
We are a clearing broker/dealer located in Miami, Florida in search of a Deputy AML Officer with a background in securities regulation and 3-5 years’ recent experience in a broker dealer / correspondent clearing firm. Preference will be given to applicants that meet all required licensing and certifications.
DUTIES AND RESPONSIBILITIES
- Develop, maintain, and execute the Firm’s AML compliance program pursuant to FINRA, SEC and BSA/AML requirements
- Conduct daily, bi-monthly and monthly FinCEN monitoring and OFAC screenings
- Assist compliance team with trade surveillance efforts, tracking and follow-up of escalated matters; working knowledge of CAT Reporting is a plus
- Assist in responding to regulatory, internal and external inquiries from the SEC, FINRA and FinCEN
- Assist with client onboarding processing; understanding of securities laws related to records retention a plus
- Participate in various general compliance initiatives as assigned
QUALIFICATIONS
- Three (3) to five (5) years of relevant experience with BSA/AML regulations within the financial services industry.
- Prior exposure to clearing firm operations and foreign correspondent relationships helpful
- Strong knowledge of KYC, CDD, EDD, CIP requirements and Global Sanctions
- Independent self-starter with a positive, can-do attitude; ability to engage proactively.
- Highly organized with strong interpersonal skills and ability to communicate effectively both verbally and in writing
- Experience with data and trend analysis related to the oversight of an AML and surveillance program
- Working knowledge of Trillium Surveillance, ComplyAdvantage, Plaid, ComplySci preferred
- A clean FINRA U4 and background is required for this position
License / Certification Requirements
- FINRA Series 7 Required
- FINRA Series 24 Required
- Broker Dealer experience Required
- Correspondent clearing experience preferred
- Certified Anti-Money Laundering Specialist, ACAMS or CFE preferred.
Job is full-time. Salary is competitive, and health, dental and vision benefits are included. Life, long-term disability and 401(k) options are available.