AML Officer

Anti-Money Laundering Officer

We are seeking an experienced Anti-Money Laundering (AML) Officer to support and oversee key components of the firm’s AML and financial crimes compliance program. This individual will work across the broker-dealer and investment advisory businesses, supporting compliance activities related to customers, financial professionals/advisors, account activity, and regulatory requirements.

The ideal candidate will have hands-on AML experience within a broker-dealer, RIA, wealth management firm, or similar financial services organization and be comfortable balancing day-to-day investigative work with broader program oversight.

Responsibilities:

• Oversee and support the firm’s day-to-day AML compliance program across its broker-dealer and advisory businesses.
• Conduct Customer Identification Program (CIP) and Know Your Customer (KYC) reviews for customers and financial professionals/advisors.
• Perform identity verification, including validating Social Security numbers and other identifying information through third-party databases and compliance systems.
• Review AML and transaction-monitoring alerts, investigate potentially suspicious activity, and document findings and dispositions.
• Conduct enhanced due diligence when required and escalate higher-risk relationships or activity.
• Assist with the preparation, review, and filing of Suspicious Activity Reports (SARs), as appropriate.
• Support ongoing customer and advisor due diligence, including periodic reviews and updates to account information.
• Review activity for potential money laundering, fraud, sanctions, or other financial crime concerns.
• Support OFAC and sanctions-screening processes and investigate potential matches.
• Maintain clear and thorough documentation of investigations, reviews, and compliance decisions.
• Assist with AML policies, procedures, risk assessments, testing, regulatory examinations, and internal audits.
• Partner with Compliance, Operations, and other internal teams to identify and resolve AML-related issues.
• Stay current on FINRA, SEC, FinCEN, and other applicable AML and financial crime regulatory requirements.

Qualifications:

• 5+ years of AML, BSA, KYC/CIP, financial crimes, or related compliance experience.
• Experience within a broker-dealer, RIA, wealth management firm, clearing firm, or similar regulated financial institution strongly preferred.
• Strong understanding of AML regulations, CIP/KYC requirements, suspicious activity monitoring, SARs, and OFAC.
• Experience reviewing and resolving AML or transaction-monitoring alerts.
• Ability to conduct detailed investigations and clearly document conclusions.
• Strong written communication skills with the ability to draft procedures, investigative narratives, and regulatory documentation.
• Comfortable working independently in a hands-on compliance environment while collaborating across multiple business functions.
• FINRA licenses and/or CAMS certification are a plus but not required.

This is an excellent opportunity for an AML professional looking to take meaningful ownership of a compliance function within a growing financial services organization and gain exposure across both broker-dealer and investment advisory operations.