Head of Anti-Money Laundering

An established financial services firm is seeking an experienced Head of Anti-Money Laundering (AML) to lead its financial crimes compliance program across securities and derivatives activities.

This position will oversee the firm's AML and sanctions framework, manage regulatory obligations, and strengthen controls designed to identify and mitigate financial crime risks.

The ideal candidate brings extensive broker-dealer AML experience, strong regulatory knowledge, and the leadership skills needed to manage a compliance function within a complex, multi-regulated financial institution.

Key Responsibilities

• Direct the firm's AML and sanctions compliance program, serving as the designated AML Compliance Officer.
• Maintain policies, procedures, and internal controls consistent with BSA/AML, USA PATRIOT Act, OFAC, SEC, FINRA, CFTC, and NFA requirements.
• Oversee transaction surveillance, suspicious activity investigations, alert resolution, and regulatory reporting, including SARs and CTRs where applicable.
• Manage customer identification, beneficial ownership verification, enhanced due diligence, and ongoing customer monitoring.
• Ensure compliance with applicable securities and commodities AML requirements, including those relevant to futures commission merchants, introducing brokers, and swap dealers.
• Maintain appropriate controls under NFA Rule 2-9(c), CFTC Regulation 42.2, and other relevant regulatory standards.
• Lead enterprise AML risk assessments and identify opportunities to strengthen monitoring systems and internal processes.
• Serve as a primary contact for regulatory examinations, audits, inquiries, and related remediation initiatives.
• Coordinate independent AML program testing and oversee the timely resolution of identified deficiencies.
• Develop and deliver financial crimes and sanctions training for employees, registered representatives, and leadership.
• Evaluate regulatory developments and recommend improvements to compliance policies, technology, and oversight practices.
• Lead and develop compliance personnel while partnering with senior stakeholders across the business.

Required Qualifications

• Bachelor's degree from an accredited institution.
• 10+ years of AML compliance experience within a broker-dealer environment.
• Strong understanding of AML and sanctions regulations applicable to securities and derivatives businesses.
• Working knowledge of SEC, FINRA, CFTC, NFA, OFAC, and FinCEN requirements.
• Experience managing AML programs for organizations operating under multiple regulatory frameworks.
• Demonstrated expertise in transaction monitoring, financial crime investigations, suspicious activity reporting, and regulatory examinations.
• Experience with AML surveillance platforms, monitoring technology, and compliance systems.
• Proven ability to lead teams, communicate with regulators, and advise senior management.
• Strong judgment, organizational skills, and the ability to manage competing priorities.

Preferred Qualifications

• Advanced degree or professional certification such as CAMS, CRCM, JD, or CPA.
• Experience with third-party AML monitoring and surveillance solutions.
• Familiarity with compliance requirements for dual-registered firms, futures businesses, or derivatives activities.